Filing Details
- Accession Number:
- 0001209191-10-030095
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-24 13:00:00
- Reporting Period:
- 2010-05-20
- Filing Date:
- 2010-05-24
- Accepted Time:
- 2010-05-24 17:21:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 845289 | Harvest Natural Resources Inc. | HNR | Crude Petroleum & Natural Gas (1311) | 770196707 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1270557 | L Karl Nesselrode | 1177 Enclave Parkway Suite 300 Houston TX 77077 | Vp Engineering & Business Dev | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 Par Value Per Share | Acquisiton | 2010-05-20 | 11,000 | $0.00 | 38,485 | No | 4 | A | Direct | |
| Common Stock, $.01 Par Value Per Share | Acquisiton | 2010-05-21 | 10,000 | $7.13 | 48,485 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.1 Par Value Per Share | Stock Options | Acquisiton | 2010-05-20 | 29,900 | $0.00 | 29,900 | $7.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 217,234 | 2015-05-20 | No | 4 | A | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.1 Par Value Per Share | Stock Appreciation Right | $4.60 | 2016-06-18 | 28,000 | 245,234 | Direct | |
| Common Stock, $0.1 Par Value Per Share | Phantom Stock | $0.00 | 20,000 | 265,234 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-06-18 | 28,000 | 245,234 | Direct |
| 20,000 | 265,234 | Direct |
Footnotes
- Shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to the Harvest Natural Resources 2010 Long Term Incentive Plan.
- Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans.
- The options granted vest one-third on each anniversary date of the date of the grant and are exerciseable in full on 5/20/2013.
- Options granted by the Company's Board of Directors pursuant to the Company's 2010 Long Term Incentive Plan.
- Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- The Stock Appreciation Rights granted vest at a rate of one third per year beginning the third year from the effective date of the grant and will be exercisable in full on June 18, 2014.
- 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.
- Each share of phantom stock is the economic equivalent of one share of HNR common stock.
- Phantom Stock granted vests at a rate of one third per year beginning the third year from the effective date of the grant and will be exercisable in full on June 18, 2014.
- Includes options to purchase the Company's common stock, Stock Appreciation Rights and Phantom Stock Unit Awards granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
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