SEC Form 4/A · accession 0001209191-16-113172
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Francisco D'Agostino
Director
Period of report
Sep 15, 2015
Accepted (ET)
Apr 5, 2016 · 5:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000845289
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF1 | holding | — | — | — | 0 | I | None | |
| Common StockF1,F2 | holding | — | — | — | 0 | I | None |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 9% Convertible Note due 2020F1,F2 | — | holding | — | — | — | — | — | Common Stock, $.01 par value per share | 0 | 0 | I |
| WarrantF1 | — | holding | — | — | — | — | — | Common Stock, $.01 par value per share | 0 | 0 | I |
Explanation of responses
- F1This Form 4 is being filed to correct certain facts of Mr. D'Agostino's Form 4 filed with the Securities and Exchange Commission on September 17, 2015 (the "Form 4"). At the time of the filing of the Form 4, it was contemplated that CTVEN Investments SRL, a Barbados Society with Restricted Liability ("CTVEN") would purchase 35% of the equity interests in CT Energy Holding SRL, a Barbados Society with Restricted Liability ("CT Energy Holding"). As a result, the Form 4 stated that Mr. D'Agostino is one of the controlling persons of CT Energy Holding and CTVEN, and that CTVEN was a member of CT Energy Holding. However, this transaction never occurred. CTVEN is not, and has never been, a member of CT Energy Holding and each of CTVEN and Mr. D'Agostino are not, and have never been, controlling persons or beneficial owners of CT Energy Holding, or indirect beneficial owners of securities owned by CT Energy Holding.
- F2The Form 4 stated that on September 15, 2015 CT Energy Holding elected to fully convert the aggregate principal and unpaid interest of the 9% convertible senior secured note of the Issuer due 2020 into shares of common stock of the Issuer. The Form 4 also stated that Mr. D'Agostino is an indirect beneficial owner of the Issuer's common stock as a result of being a controlling person of CT Energy Holding. Mr. D'Agostino is not, and has never been, a controlling person or beneficial owner of CT Energy Holding, or an indirect beneficial owner of securities owned by CT Energy Holding.