SEC Form 4 · accession 0001209191-16-145739

HARVEST NATURAL RESOURCES, INC. · HNR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior Vice President

Period of report

Oct 7, 2016

Accepted (ET)

Oct 12, 2016 · 6:48 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 share^F1	Oct 7, 2016	M	275,000	—	A	500,483	D
Common Stock, $.01 par value per share	Oct 7, 2016	D	78,000	$0.91	D	422,483	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Phantom Stock^F1,F4,F5	—	Oct 7, 2016	M	275,000	D	Oct 7, 2016	—	Common Stock, $0.1 par value per share	275,000	1,097,000	D
Stock Options^F2	—	holding	—	—	—	—	—	Common Stock, $0.1 par value per share	—	875,107	D
Stock Appreciation Right^F4,F3	—	holding	—	—	—	—	—	Common Stock, $0.1 par value per share	—	1,097,000	D

F1Each share of phantom stock is the economic equivalent of one share of HNR common stock. The reporting person settled 78,000 shares for cash and 197,000 shares for HNR common stock.
F2Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
F3Includes Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
F4Includes 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.
F5Expiration Date not applicable.