SEC Form 4/A · accession 0001209191-16-141683
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
Patrick M Murray
Director
Period of report
Sep 9, 2016
Accepted (ET)
Sep 15, 2016 · 7:50 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,F2,F3 | Sep 9, 2016 | M | 53,334 | — | A | 290,855 | D | |
| Common Stock, $.01 par value per shareF1,F3 | Sep 9, 2016 | D | 53,334 | $0.65 | D | 237,521 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Sep 9, 2016 | M | 53,334 | D | Sep 9, 2016 | Sep 9, 2016 | Common Stock, $.01 par value per share | 53,334 | 0 | D |
| Stock OptionsF4 | — | holding | — | — | — | — | — | Common Stock, $.01 par value per share | — | 0 | D |
Explanation of responses
- F1This filing reflects an inadvertent omission of the Deemed Execution Date.
- F2Each share of phantom stock is the economic equivalent of one share of HNR common stock. The Company settled such phantom stock for cash. Although reflected in Table I, no common stock was actually acquired or disposed of.
- F3Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans.
- F45,000 options expired by their own terms on 5/18/2016.