0001209191-15-062368.txt : 20150724 0001209191-15-062368.hdr.sgml : 20150724 20150724150800 ACCESSION NUMBER: 0001209191-15-062368 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150722 FILED AS OF DATE: 20150724 DATE AS OF CHANGE: 20150724 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST NATURAL RESOURCES, INC. CENTRAL INDEX KEY: 0000845289 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 770196707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1177 ENCLAVE PARKWAY STREET 2: STE 300 CITY: HOUSTON STATE: TX ZIP: 77077 BUSINESS PHONE: 281-899-5700 MAIL ADDRESS: STREET 1: 1177 ENCLAVE PARKWAY STREET 2: STE 300 CITY: HOUSTON STATE: TX ZIP: 77077 FORMER COMPANY: FORMER CONFORMED NAME: HARVEST NATURAL RESOURCES INC DATE OF NAME CHANGE: 20020805 FORMER COMPANY: FORMER CONFORMED NAME: BENTON OIL & GAS CO DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haynes Stephen C CENTRAL INDEX KEY: 0001351473 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10762 FILM NUMBER: 151004481 MAIL ADDRESS: STREET 1: 1177 ENCLAVE PARKWAY STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77077 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-22 0 0000845289 HARVEST NATURAL RESOURCES, INC. HNR 0001351473 Haynes Stephen C 1177 ENCLAVE PARKWAY SUITE 300 HOUSTON TX 77077 0 1 0 0 Vice President Common Stock, $.01 par value per share 40404 D Stock Options 1.13 2015-07-22 4 A 0 90000 A 2020-07-22 Common Stock, $0.1 par value per share 90000 381100 D Stock Appreciation Right 1.13 2015-07-22 4 A 0 539000 A 2020-07-22 Common Stock, $0.1 par value per share 539000 1011100 D Phantom Stock 2015-07-22 4 A 0 167000 A 2018-07-22 Common Stock, $0.1 par value per share 167000 1244100 D Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans. In addition to vesting in one-third increments per year, the options and SARS awarded on July 22, 2015 will not become exercisable until the first day on which the volume weighted average price of the common stock over any 30-day period, commencing on or after the award date, equals or exceeds $2.50 per share, as reported by the New York Stock Exchange. Options granted by the Company's Board of Directors pursuant to the Company's 2006 Long Term Incentive Plan. These options are exercisable in one-third increments per year from the effective date of the grant and will be exercisable in full on July 22, 2018. Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices. The Stock Appreciation Rights granted vest at a rate of one third per year beginning the first year from the effective date of the grant and will be exercisable in full on July 22, 2018. Stock Appreciation Right granted by the Company's board of directors. Includes 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. In addition to the three year vesting requirement, the RSUs awarded on July 22, 2015 will not vest until the first day on which the volume weighted average price of the common stock over any 30-day period, commencing on or after the award date, equals or exceeds $2.50 per share, as reported by the New York Stock Exchange. Each share of phantom stock is the economic equivalent of one share of HNR common stock. Phantom Stock (Restricted Stock Units) have no expiration dates. Includes options to purchase the Company's common stock, Stock Appreciation Rights and Phantom Stock (Restricted Stock Units) granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices. Keith L. Head, by Power of Attorney 2015-07-24