HARVEST NATURAL RESOURCES, INC. 4

4 · HARVEST NATURAL RESOURCES, INC. · Filed Apr 12, 2017

Form 4

Period: 2017-04-10

Vice President

Transactions

Exercise/Conversion
Stock Appreciation Right
2017-04-10−25,619→ 184,006 total
Exercise: $4.52Exp: 2020-07-22→ Common Stock, $0.1 par value per share (25,619 underlying)
Disposition to Issuer
Common Stock, $.01 par value per share
2017-04-10$7.15/sh−25,619$183,176→ 35,286 total
Exercise/Conversion
Common Stock, $.01 par value per share
2017-04-10$4.52/sh+25,619$115,798→ 60,905 total

Holdings

Footnotes (5)

[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]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.
[F4]Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
[F5]A Change of Control transaction occurred on October 7, 2016 causing all Stock Appreciation Rights of the Reporting Person to vest.

Documents

1 file