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HNR > SEC Filings for HNR > Form 8-K on 7-Oct-2013All Recent SEC Filings

Show all filings for HARVEST NATURAL RESOURCES, INC. | Request a Trial to NEW EDGAR Online Pro

Form 8-K for HARVEST NATURAL RESOURCES, INC.


7-Oct-2013

Unregistered Sale of Equity Securities


Item 3.02. Unregistered Sales of Equity Securities.

On September 30, 2013, Harvest Natural Resources, Inc. ("we" or "our") entered into a subscription agreement under which we agreed to sell to three purchasers an aggregate of 390,000 shares of our common stock for an aggregate purchase price of $2,000,700. The transaction closed on October 1, 2013.

On October 2, 2013, we entered into subscription agreements under which we agreed to sell to three purchasers an aggregate of 400,000 shares of our common stock for an aggregate purchase price of $1,928,000. The transaction closed on October 4, 2013.

The subscription agreements included representations, warranties, and covenants customary for transactions of this type.

In each transaction, the common stock was offered to accredited investors and we relied on an exemption from registration of the sale of the shares provided by Regulation D and Section 4(a)(2) of the Securities Act of 1933, as amended (the "Securities Act"), as a transaction by an issuer not involving any public offering. None of such common stock has been registered under the Securities Act, or under state securities laws and, unless so registered, may not be offered or sold in the United States or to U.S. persons except pursuant to an exemption from, or in a transaction not subject to the registration requirements of, the Securities Act and applicable state securities laws. This current report does not constitute an offer to sell or the solicitation of an offer to buy any securities, nor shall it constitute an offer, solicitation, or sale in any jurisdiction in which such offer, solicitation or sale is unlawful.


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