SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol HARVEST NATURAL RESOURCES, INC. [ HNR ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 09/15/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) 09/17/2015 | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Series C Preferred Stock | 0(1) | I(1) | None | |||||||
Common Stock | 0(1)(2) | I(1) | None |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
9% Convertible Note due 2020 | (1)(2) | (1)(2) | (1)(2) | Common Stock, $.01 par value per share | 0 | 0(1) | I(1) | None | |||||||
Warrant | (1) | (1) | (1) | Common Stock, $.01 par value per share | 0 | 0(1) | I(1) | None |
Explanation of Responses: |
1. This Form 4 is being filed to correct certain facts of Mr. D'Agostino's Form 4 filed with the Securities and Exchange Commission on September 17, 2015 (the "Form 4"). At the time of the filing of the Form 4, it was contemplated that CTVEN Investments SRL, a Barbados Society with Restricted Liability ("CTVEN") would purchase 35% of the equity interests in CT Energy Holding SRL, a Barbados Society with Restricted Liability ("CT Energy Holding"). As a result, the Form 4 stated that Mr. D'Agostino is one of the controlling persons of CT Energy Holding and CTVEN, and that CTVEN was a member of CT Energy Holding. However, this transaction never occurred. CTVEN is not, and has never been, a member of CT Energy Holding and each of CTVEN and Mr. D'Agostino are not, and have never been, controlling persons or beneficial owners of CT Energy Holding, or indirect beneficial owners of securities owned by CT Energy Holding. |
2. The Form 4 stated that on September 15, 2015 CT Energy Holding elected to fully convert the aggregate principal and unpaid interest of the 9% convertible senior secured note of the Issuer due 2020 into shares of common stock of the Issuer. The Form 4 also stated that Mr. D'Agostino is an indirect beneficial owner of the Issuer's common stock as a result of being a controlling person of CT Energy Holding. Mr. D'Agostino is not, and has never been, a controlling person or beneficial owner of CT Energy Holding, or an indirect beneficial owner of securities owned by CT Energy Holding. |
Remarks: |
Keith L. Head, Attorney-in-Fact | 04/05/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |