SEC Form 3/A · accession 0001209191-16-113204
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Francisco D'Agostino
Director
Period of report
Jun 19, 2015
Accepted (ET)
Apr 5, 2016 · 5:44 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 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 9.0% Convertible Note due 2020F1 | — | holding | — | — | — | — | — | Common Stock | 0 | — | I |
| WarrantF1 | — | holding | — | — | — | — | — | Common Stock | 0 | — | I |
Explanation of responses
- F11. This Form 3 amendment is being filed to correct certain facts of Mr. D'Agostino's Form 3 filed with the Securities and Exchange Commission on June 29, 2015 (the "Form 3"). At the time of the filing of the Form 3, 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 3 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 beneficially owned by CT Energy Holding.