0001209191-16-145737.txt : 20161012 0001209191-16-145737.hdr.sgml : 20161012 20161012184321 ACCESSION NUMBER: 0001209191-16-145737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161007 FILED AS OF DATE: 20161012 DATE AS OF CHANGE: 20161012 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: NESSELRODE KARL L CENTRAL INDEX KEY: 0001270557 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10762 FILM NUMBER: 161933869 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 2016-10-07 0 0000845289 HARVEST NATURAL RESOURCES, INC. HNR 0001270557 NESSELRODE KARL L 1177 ENCLAVE PARKWAY SUITE 300 HOUSTON TX 77077 0 1 0 0 VP Engineering & Business Dev Common Stock, $.01 par value per share 2016-10-07 4 M 0 215000 A 279316 D Common Stock, $.01 par value per share 2016-10-07 4 D 0 61000 0.91 D 218316 D Common Stock, $.01 par value per share 2016-10-07 4 F 0 42119 0.91 D 176197 D Stock Options Common Stock, $0.1 par value per share 683416 D Stock Appreciation Right Common Stock, $0.1 par value per share 856000 D Phantom Stock 2016-10-07 4 M 0 215000 D 2016-10-07 Common Stock, $0.1 par value per share 215000 856000 D Each share of phantom stock is the economic equivalent of one share of HNR common stock. The reporting person settled 61,000 shares for cash and 154,000 shares for HNR common stock. Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices. Includes Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices. 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. Expiration Date not applicable. Stephen C. Haynes, Attorney-in-Fact 2016-10-12