4//SEC Filing
HARVEST NATURAL RESOURCES, INC. 4
Accession 0001209191-17-019909
CIK 0000845289operating
Filed
Mar 9, 7:00 PM ET
Accepted
Mar 10, 5:08 PM ET
Size
14.3 KB
Accession
0001209191-17-019909
Insider Transaction Report
Form 4
NESSELRODE KARL L
VP Engineering & Business Dev
Transactions
- Exercise of In-Money
Stock Options
2017-03-08−118,604→ 52,250 totalExercise: $4.52Exp: 2020-07-22→ Common Stock, $0.1 par value per share (118,604 underlying) - Tax Payment
Common Stock, $.01 par value per share
2017-03-08$6.81/sh−89,630$610,380→ 72,652 total - Exercise/Conversion
Stock Appreciation Right
2017-03-08−26,146→ 69,250 totalExercise: $4.52Exp: 2020-07-22→ Common Stock, $0.1 par value per share (26,146 underlying) - Disposition to Issuer
Common Stock, $.01 par value per share
2017-03-08$6.78/sh−26,146$177,270→ 162,282 total - Exercise/Conversion
Common Stock, $.01 par value per share
2017-03-08$4.52/sh+144,750$654,270→ 188,428 total
Footnotes (7)
- [F1]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.
- [F2]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.
- [F3]In 2012, 375 shares of common stock beneficially owned by the reporting person was transferred to his ex-wife pursuant to a domestic relations order. Due to a clerical error, this was not reported at the time. The reporting person no longer reports as beneficially owning such common stock now owned by his ex-wife.
- [F4]A change of control transaction occurred on October 7, 2016 causing all stock options of the reporting person to vest.
- [F5]Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- [F6]A Change of Control transaction occurred on October 7, 2016 causing all Stock Appreciation Rights of the Reporting Person to vest.
- [F7]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.
Documents
Issuer
HARVEST NATURAL RESOURCES, INC.
CIK 0000845289
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000845289
Filing Metadata
- Form type
- 4
- Filed
- Mar 9, 7:00 PM ET
- Accepted
- Mar 10, 5:08 PM ET
- Size
- 14.3 KB