SEC Form 4 · accession 0001209191-16-133636
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Edmiston
Officer — President & CEO · Director
Period of report
Jul 19, 2016
Accepted (ET)
Jul 21, 2016 · 5:46 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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par value per shareF1 | Jul 19, 2016 | F | 6,564 | $0.67 | D | 361,202 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F3 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 1,762,000 | D |
| Stock Appreciation RightF3,F5,F4 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 2,909,000 | D |
| Phantom StockF7,F6 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 3,612,000 | D |
Explanation of responses
- F1Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans.
- F2Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F3This filing reflects that 731,000 Stock Appreciation Rights granted on July 22, 2015 have been converted to 731,000 options with the same exercise dates, expiration date and exercise price.
- F4Includes Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F5Includes options to purchase the Company's common stock and Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F6Includes Phantom Stock (Restricted Stock Units) granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F7Includes options to purchase the Company's common stock, Stock Appreciation Rights and Phantom Stock (Restricted Stock Units) granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.