Statement of Changes in Beneficial Ownership (4)
13 October 2016 - 9:54AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
EDMISTON JAMES A
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2. Issuer Name
and
Ticker or Trading Symbol
HARVEST NATURAL RESOURCES, INC.
[
HNR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
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(Last)
(First)
(Middle)
1177 ENCLAVE PARKWAY, SUITE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/7/2016
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(Street)
HOUSTON, TX 77077
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $.01 par value per share
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10/7/2016
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M
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703000
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A
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(1)
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1064202
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D
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Common Stock, $.01 par value per share
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10/7/2016
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D
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203000
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D
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$0.91
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861202
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options
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(2)
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(2)
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(2)
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Common Stock, $0.1 par value per share
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(2)
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1762000
(2)
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D
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Stock Appreciation Right
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(3)
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(3)
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(3)
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Common Stock, $0.1 par value per share
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(3)
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2909000
(4)
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D
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Phantom Stock
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(1)
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10/7/2016
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M
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703000
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10/7/2016
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(5)
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Common Stock, $0.1 par value per share
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703000
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(1)
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2909000
(4)
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D
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Explanation of Responses:
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(
1)
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Each share of phantom stock is the economic equivalent of one share of HNR common stock. The reporting person settled 203,000 shares for cash and 500,000 shares for HNR common stock.
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(
2)
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Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
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(
3)
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Includes Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
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(
4)
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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.
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(
5)
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Expiration Date not applicable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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EDMISTON JAMES A
1177 ENCLAVE PARKWAY
SUITE 300
HOUSTON, TX 77077
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X
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President & CEO
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Signatures
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Stephen C. Haynes,
Attorney in Fact
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10/12/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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