SEC Form 4 · accession 0001209191-17-018731

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

Mar 3, 2017

Accepted (ET)

Mar 7, 2017 · 4:21 pm EST

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,F2	Mar 3, 2017	M	33,474	$4.52	A	139,095	D
Common Stock, $.01 par value per share^F1,F2	Mar 3, 2017	D	33,474	$6.74	D	105,621	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right^F1,F5,F4	$4.52	Mar 3, 2017	M	33,474	D	—	Jul 22, 2020	Common Stock, $0.1 par value per share	33,474	240,777	D
Stock Options^F1,F3	—	holding	—	—	—	—	—	Common Stock, $0.1 par value per share	—	218,777	D

F1On November 3, 2016, the Issuer effected a one-for-four (1:4) reverse split of its issued and outstanding common stock (the "Reverse Stock Split"). All securities amounts and prices referenced in this Form 4 have been adjusted to reflect the Reverse Stock Split.
F2The exercise of cash settled stock appreciation rights are shown as an acquisition and disposition of common stock. Because the stock appreciation rights were settled in cash, no shares of common stock were issued to or sold by the reporting person.
F3Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
F4A Change of Control transaction occurred on October 7, 2016 causing all stock appreciation rights of the Reporting Person to vest.
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.