0001209191-17-026660.txt : 20170412 0001209191-17-026660.hdr.sgml : 20170412 20170412153404 ACCESSION NUMBER: 0001209191-17-026660 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170410 FILED AS OF DATE: 20170412 DATE AS OF CHANGE: 20170412 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: HEAD KEITH L CENTRAL INDEX KEY: 0001398164 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10762 FILM NUMBER: 17757953 MAIL ADDRESS: STREET 1: 1177 ENCLAVE PARKWAY, SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77077 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-04-10 0 0000845289 HARVEST NATURAL RESOURCES, INC. HNR 0001398164 HEAD KEITH L 1177 ENCLAVE PARKWAY SUITE 300 HOUSTON TX 77077 0 1 0 0 Vice President Common Stock, $.01 par value per share 2017-04-10 4 M 0 25619 4.52 A 60905 D Common Stock, $.01 par value per share 2017-04-10 4 D 0 25619 7.15 D 35286 D Stock Options Common Stock, $0.1 par value per share 167631 D Stock Appreciation Right 4.52 2017-04-10 4 M 0 25619 0.00 D 2020-07-22 Common Stock, $0.1 par value per share 25619 184006 D On November 3, 2016, the Issuer effected a one-for-four (1:4) reverse split of its issued and outstanding common stock (the "Reverse Stock Split"). All securities amounts and prices referenced in this Form 4 have been adjusted to reflect the Reverse Stock Split. The exercise of cash settled stock appreciation rights are shown as an acquisition and disposition of common stock. Because the stock appreciation rights were settled in cash, no shares of common stock were issued to or sold by the reporting person. Since the date of the reporting person's last ownership filing, 179 shares of common stock beneficially owned by him was transferred to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owning such common stock now owned by his ex-wife. Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices. A Change of Control transaction occurred on October 7, 2016 causing all Stock Appreciation Rights of the Reporting Person to vest. Keith L. Head 2017-04-12