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