SEC Form 4 · accession 0001209191-16-145552
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CT Energy Holding SRL
10% Owner
Period of report
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 4:14 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 | Oct 7, 2016 | D | 8,667,597 | — | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF2,F3 | — | Oct 7, 2016 | D | 34,070,820 | D | — | — | Common Stock, $.01 par value per share | 34,070,820 | 0 | D |
Explanation of responses
- F1On October 7, 2016, CT Energy and Harvest closed a transaction in which CT Energy relinquished all common stock in Harvest. A Schedule 13D/A was filed by CT Energy on October 11, 2016.
- F2On October 7, 2016, CT Energy and Harvest closed a transaction in which the warrant issued to CT Energy in June 2015 was terminated. A Schedule 13D/A was filed by CT Energy on October 11, 2016.
- F3Date Exercisable and Expiration Date not applicable.