SEC Form 4 · accession 0001209191-17-027758
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith L Head
Officer — Vice President
Period of report
Apr 18, 2017
Accepted (ET)
Apr 20, 2017 · 5:13 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 | Apr 18, 2017 | M | 116,131 | $4.52 | A | 151,417 | D | |
| Common Stock, $.01 par value per share | Apr 18, 2017 | F | 87,761 | $6.81 | D | 63,656 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F1 | $4.52 | Apr 18, 2017 | X | 116,131 | D | — | Jul 22, 2020 | Common Stock, $0.1 par value per share | 116,131 | 51,500 | D |
| Stock Appreciation RightF4,F3 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 67,875 | D |
Explanation of responses
- F1A change of control transaction occurred on October 7, 2016 causing all stock options of the reporting person to vest.
- 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.