0001209191-16-141688.txt : 20160915 0001209191-16-141688.hdr.sgml : 20160915 20160915201025 ACCESSION NUMBER: 0001209191-16-141688 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160909 FILED AS OF DATE: 20160915 DATE AS OF CHANGE: 20160915 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: Cisneros Fajardo Oswaldo J CENTRAL INDEX KEY: 0001646547 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10762 FILM NUMBER: 161888100 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 2016-09-09 0 0000845289 HARVEST NATURAL RESOURCES, INC. HNR 0001646547 Cisneros Fajardo Oswaldo J 1177 ENCLAVE PARKWAY SUITE 300 HOUSTON TX 77077 1 0 1 0 Common Stock, $.01 par value per share 8667597 I by CT Energy Holding SRL Common Stock, $.01 par value per share 2016-09-09 2016-09-12 4 M 0 53334 A 53334 D Common Stock, $.01 par value per share 2016-09-09 2016-09-12 4 D 0 53334 0.65 D 0 D Warrant 1.25 Common Stock, $.01 par value per share 34070820 34070820 I by CT Energy Holding SRL Phantom Stock 2016-09-09 2016-09-12 4 M 0 53334 D 2016-09-09 2016-09-09 Common Stock, $.01 par value per share 53334 0 D Each share of phantom stock is the economic equivalent of one share of HNR common stock. The Company settled such phantom stock for cash. Although reflected in Table I, no common stock was actually acquired or disposed of. 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 2016-09-15