0001209191-15-071262.txt : 20150917 0001209191-15-071262.hdr.sgml : 20150917 20150917190731 ACCESSION NUMBER: 0001209191-15-071262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150915 FILED AS OF DATE: 20150917 DATE AS OF CHANGE: 20150917 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: CT Energy Holding SRL CENTRAL INDEX KEY: 0001646549 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10762 FILM NUMBER: 151113706 BUSINESS ADDRESS: STREET 1: CALLE LONDRES STREET 2: TORRE DAYCO, PH CITY: CARACAS STATE: X5 ZIP: LAS MERCED BUSINESS PHONE: 58-212-999-9190 MAIL ADDRESS: STREET 1: CALLE LONDRES STREET 2: TORRE DAYCO, PH CITY: CARACAS STATE: X5 ZIP: LAS MERCED 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-15 0 0000845289 HARVEST NATURAL RESOURCES, INC. HNR 0001646549 CT Energy Holding SRL 1177 ENCLAVE PARKWAY SUITE 300 HOUSTON TX 77077 0 0 1 0 Series C Preferred Stock 2015-09-15 4 J 0 69.75 1.00 D 0 D Common Stock 2015-09-15 4 C 0 8667597 0.82 A 8667597 D 9% Convertible Note due 2020 0.82 2015-09-15 4 C 0 7107429.00 0.82 D 2015-06-19 2020-06-19 Common Stock 8667597 0 D Warrant 1.25 Common Stock 34070820 34070820 D On September 15, 2015, CT Energy Holding SRL ("CT Energy") elected to fully convert the aggregate principal and unpaid interest of a 9.0% convertible senior secured note of the Issuer due 2020 (the "Convertible Note"). The Convertible Note was converted into 8,667,597 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), at a conversion price of $0.82 per share. In connection with the conversion of the Convertible Note, the Issuer redeemed 69.75 shares of the Issuer's Series C Preferred Stock at a redemption price of $1.00 per share. The Series C Preferred Stock had provided CT Energy with voting rights equivalent to the Common Stock underlying the unconverted portion of the Convertible Note. The warrant (the "Warrant") is exercisable for 34,070,820 shares of the Issuer's common stock at an initial exercise price of $1.25 per share, which is subject to anti-dilution adjustments. The Warrant expires on June 19, 2018 (unless exercised sooner) and may not be exercised until the volume weighted average price of the Issuer's Common Stock as reported on the New York Stock Exchange equals or exceeds $2.50 per share over any 30-day period. Keith L. Head, Attorney-in-Fact 2015-09-17