-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CJJIFDL+YWqb8etPo8+2rGHrvYUW3saqbAVgY7v+oP44vKhovPIrFnfr0RuWIK7b vVxvXPkyJSXIqAmYfXE1iw== 0000899140-04-000237.txt : 20040217 0000899140-04-000237.hdr.sgml : 20040216 20040217172358 ACCESSION NUMBER: 0000899140-04-000237 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CUMBERLAND ASSOCIATES LLC CENTRAL INDEX KEY: 0000351262 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1114 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2125750900 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-40996 FILM NUMBER: 04610374 BUSINESS ADDRESS: STREET 1: 15835 PARK TEN PLACE DRIVE STREET 2: SUITE 115 CITY: HOUSTON STATE: TX ZIP: 77084 BUSINESS PHONE: 2815796700 MAIL ADDRESS: STREET 1: 15835 PARK TEN PLACE DRIVE STREET 2: SUITE 115 CITY: HOUSTON STATE: TX ZIP: 77084 FORMER COMPANY: FORMER CONFORMED NAME: BENTON OIL & GAS CO DATE OF NAME CHANGE: 19920703 SC 13G/A 1 cu1337373b.txt AMENDMENT NO. 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* HARVEST NATURAL RESOURCES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 41754V103 --------- (CUSIP Number) January 20, 2004 ---------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 6 pages - -------------------------- -------------------------- CUSIP No. 41754V103 13G Page 2 of 6 Pages --------- --- --- - -------------------------- -------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Cumberland Associates LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 989,867 ------------------------------------------------------------------ 6 SHARED VOTING POWER BENEFICIALLY NUMBER OF 210,133 SHARES ------------------------------------------------------------------ OWNED BY 7 SOLE DISPOSITIVE POWER EACH REPORTING 989,867 PERSON ------------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 210,133 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,200,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO, IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a) Name of Issuer: -------------- Harvest Natural Resources, Inc. (the "Issuer") Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 15835 Park Ten Place Drive Suite 115 Houston, Texas 77084 Item 2(a) Name of Person Filing: --------------------- This statement is being filed by Cumberland Associates LLC. Cumberland Associates LLC is a limited liability company organized under the laws of the State of New York, and is engaged in the business of managing, on a discretionary basis, seven securities accounts (the "Accounts"), the principal one of which is Cumberland Partners. Gary Tynes, Bruce G. Wilcox, Andrew M. Wallach, Lawrence M. Rifkin and Jeffrey E. Eberwein are the members (the "Members") of Cumberland Associates LLC. Item 2(b) Address of Principal Business Office: ------------------------------------ The address of the principal business and office of Cumberland Associates LLC and each of the Members is 1114 Avenue of the Americas, New York, New York 10036. Item 2(c) Citizenship: ----------- Cumberland Associates LLC is a New York limited liability company. Each of the Members is a citizen of the United States. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock, par value $.01 per share (the "Shares") Item 2(e) CUSIP Number: ------------ 41754V103 Item 3 Not Applicable Item 4. Ownership: --------- Page 3 of 6 pages Item 4(a) Amount Beneficially Owned: ------------------------- As of January 20, 2004, Cumberland Associates LLC may be deemed the beneficial owner of 1,200,000 Shares. Item 4(b) Percent of Class: ---------------- The number of Shares of which Cumberland Associates LLC may be deemed to be the beneficial owner constitutes approximately 3.4% of the total number of Shares outstanding, based upon 35,420,000 Shares issued and outstanding as of January 20, 2004. Item 4(c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote: 989,867 (ii) Shared power to vote or to direct the vote: 210,133 (iii) Sole power to dispose or to direct the disposition of: 989,867 (iv) Shared power to dispose or to direct the disposition of: 210,133 Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following.[X] Item 6 Ownership of More than Five Percent on Behalf of Another -------------------------------------------------------- Person: ------ The beneficial owners of the Accounts have the right to participate in the receipt of dividends from, or proceeds from the sale of, the Shares held for each Account in accordance with their ownership interests in each such Account. Item 7 Identification and Classification of the ---------------------------------------- Subsidiary Which Acquired the Security Being -------------------------------------------- Reported on By the Parent Holding Company: ----------------------------------------- Not Applicable Page 4 of 6 Item 8 Identification and Classification of Members -------------------------------------------- of the Group: ------------ Not Applicable. Item 9 Notice of Dissolution of Group: ------------------------------ Not Applicable Item 10 Certification: ------------- By signing below the signatory certifies that, to the best of his knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the Issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 5 of 6 pages SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 17, 2004 CUMBERLAND ASSOCIATES LLC By: /s/ Bruce G. Wilcox ------------------------------ Name: Bruce G. Wilcox Title: Member Page 6 of 6 pages -----END PRIVACY-ENHANCED MESSAGE-----