SEC Form 4 · accession 0001209191-17-019907
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen C Haynes
Officer — Chief Financial Officer
Period of report
Mar 8, 2017
Accepted (ET)
Mar 10, 2017 · 5:07 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 shareF1 | Mar 8, 2017 | M | 128,838 | $4.52 | A | 180,226 | D | |
| Common Stock, $.01 par value per share | Mar 8, 2017 | F | 98,716 | $6.665 | D | 81,510 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3,F2 | $4.52 | Mar 9, 2017 | X | 128,838 | D | — | Jul 22, 2020 | Common Stock, $0.1 par value per share | 128,838 | 57,000 | D |
| Stock Appreciation RightF5,F4 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 75,500 | D |
Explanation of responses
- 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.
- F2A change of control transaction occurred on October 7, 2016 causing all stock options of the reporting person to vest.
- F3Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- 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.