 |
|---|
| As Of | Filer | Doc Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
|---|
|
|---|
10/11/16 CT Energy Holding SRL SC 13D/A 1:63K Harvest Natural Resources, Inc. Toppan Merrill/FA
Oswaldo Cisneros Fajardo³
1: SC 13D/A Amendment to Statement of Acquisition of Beneficial Ownership by
an "Active" Investor -- HTML: 62K| SC 13D/A | 1st Page of 8± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 286: 1
Name of Reporting Person Oswaldo Cisneros Fajardo
| | Line 530: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 537:
Name: Oswaldo Cisneros Fajardo
| | Line 563:
Oswaldo Cisneros Fajardo
| | Line 584: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 591:
Name: Oswaldo Cisneros Fajardo
|
9/12/16 CT Energy Holding SRL SC 13D/A 3:342K Harvest Natural Resources, Inc. Toppan Merrill/FA
Oswaldo Cisneros Fajardo³
1: SC 13D/A Amendment to Statement of Acquisition of Beneficial Ownership by
an "Active" Investor -- HTML: 112K| SC 13D/A | 1st Page of 14± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 290: 1
Name of Reporting Person Oswaldo Cisneros Fajardo
| | Line 749: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 756:
Name: Oswaldo Cisneros Fajardo
| | Line 782:
Oswaldo Cisneros Fajardo
| | Line 799: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 806:
Name: Oswaldo Cisneros Fajardo
|
2: EX-99.12 Miscellaneous Exhibit -- HTML: 209K
3: EX-99.13 Miscellaneous Exhibit -- HTML: 20K
7/1/16 CT Energy Holding SRL SC 13D/A 1:116K Harvest Natural Resources, Inc. Toppan Merrill/FA
Oswaldo Cisneros Fajardo³
1: SC 13D/A Amendment to Statement of Acquisition of Beneficial Ownership by
an "Active" Investor -- HTML: 115K| SC 13D/A | 1st Page of 15± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 285: 1
Name of Reporting Person Oswaldo Cisneros Fajardo
| | Line 750: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 759: Name:
Oswaldo Cisneros Fajardo
| | Line 775:
Oswaldo Cisneros Fajardo
| | Line 796: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 805: Name:
Oswaldo Cisneros Fajardo
|
3/10/16 CT Energy Holding SRL SC 13D/A 2:63K Harvest Natural Resources, Inc. Davis Polk & … LLP 01/FA
Oswaldo Cisneros Fajardo³
1: SC 13D/A Amendment to Statement of Acquisition of Beneficial Ownership by
an "Active" Investor -- HTML: 52K| SC 13D/A | 1st Page of 7± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 308:
1 Name of Reporting Person
Oswaldo Cisneros Fajardo
| | Line 424: ...
(a) The undersigned hereby file this
Schedule 13D Statement on behalf of CT Energy Holding and Oswaldo Cisneros Fajardo . CT Energy Holding and Mr. Cisneros Fajardo
are sometimes referred to as the “Reporting Persons.” The Reporting Persons are making this single, joint filing because ... | | Line 438: CT Energy Holding is a Barbados Society
with Restricted Liability, the principal purpose of which is to hold shares of the common stock, $0.01 par value, of the Issuer.
The sole member of CT Energy Holding is Mr. Cisneros Fajardo, who owns 100% of CT Energy Holding’s equity interests. Mr.
Cisneros Fajardo serves as a member of the board of directors of the Issuer.
| | Line 454:
The present principal occupation of Mr.
Cisneros Fajardo is President of Corporación Digitel C.A., a telecommunications company. The principal address for Corporación
Digitel C.A. is Av. Principal La Castellana, Torre Digitel, Caracas, Venezuela. | | Line 476: ...
(f) Messr. Cisneros Fajardo is a citizen
of Venezuela. | | Line 486:
The Original 13D stated that CT Energy
Holding used funds from its members to fund the purchase price for the Securities. Mr. Cisneros Fajardo, as the sole member of
CT Energy Holding, provided CT Energy Holding with all of the funds to purchase the Securities. | | Line 507:
The Original 13D stated that CT Energia
Holding Ltd. (“CT Energia”) is an affiliate of CT Energy Holding. Neither Mr. Cisneros Fajardo nor CT Energy
Holding own any equity or debt securities of CT Energia, and CT Energia does not own any equity or debt securities of CT Energy
Holding. Additionally, neither Mr. Cisneros Fajardo nor any representative of CT Energy Holding serves as a director, manager or
officer of CT Energia, and no representative of CT Energia serves as a director, manager or officer of CT Energy Holding. | | Line 632:
By:
/s/ Oswaldo Cisneros Fajardo
| | Line 639:
Name: Oswaldo Cisneros Fajardo
| | Line 660:
Oswaldo Cisneros Fajardo
| | Line 677:
By:
/s/ Oswaldo Cisneros Fajardo
| | Line 684:
Name: Oswaldo Cisneros Fajardo
|
2: EX-99.10 Miscellaneous Exhibit -- HTML: 9K | EX-99.10 | 1st Page of 2± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 115:
By:
/s/ Oswaldo Cisneros Fajardo
| | Line 122:
Name: Oswaldo Cisneros Fajardo
| | Line 143:
Oswaldo Cisneros Fajardo
| | Line 160:
By:
/s/ Oswaldo Cisneros Fajardo
| | Line 167:
Name: Oswaldo Cisneros Fajardo
|
9/18/15‡ CT Energy Holding SRL SC 13D/A 2:176K Harvest Natural Resources, Inc. Toppan Merrill/FA
Alessandro Bazzoni³
Ctven Investments SRL³
Francisco Dagostino³
Oswaldo Cisneros Fajardo³
1: SC 13D/A Amendment to Statement of Acquisition of Beneficial Ownership by
an "Active" Investor -- HTML: 155K| SC 13D/A | 1st Page of 20± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 490: 1
Name of Reporting Person Oswaldo Cisneros Fajardo
| | Line 1,001:
This Amendment No. 1 (this “Amendment No. 1”) amends and supplements the Schedule 13D originally filed with the ... Liability (“CT Energy Holding”), CTVEN Investments SRL, a Barbados Society with Restricted Liability (“CTVEN”), Oswaldo Cisneros Fajardo , Francisco D’Agostino and Alessandro Bazzoni (as amended, the “Schedule 13D”). Except as indicated in this Amendment No. 5, all other information set forth in the Schedule 13D remains unchanged and capitalized terms
used herein which are not defined herein have the same meanings set forth in the Schedule 13D. | | Line 1,238: By:
/s/ Oswaldo Cisneros Fajardo
| | Line 1,245: Name:
Oswaldo Cisneros Fajardo
| | Line 1,309:
Oswaldo Cisneros Fajardo
| | Line 1,316: By:
/s/ Oswaldo Cisneros Fajardo
|
2: EX-99.10 Miscellaneous Exhibit -- HTML: 19K | EX-99.10 | 1st Page of 3± | CT Energy Holding SRL - SC 13D/A - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 73: By:
/s/ Oswaldo Cisneros
| | Line 80: Name:
Oswaldo Cisneros
| | Line 146:
Oswaldo Cisneros Fajardo
| | Line 153: By:
/s/ Oswaldo Cisneros Fajardo
|
6/30/15‡ CT Energy Holding SRL SC 13D 2:230K Harvest Natural Resources, Inc. Toppan Merrill/FA
Alessandro Bazzoni³
Ctven Investments SRL³
Francisco Dagostino³
Oswaldo Cisneros Fajardo³
1: SC 13D Statement of Acquisition of Beneficial Ownership by an "Active"
Investor -- HTML: 208K| SC 13D | 1st Page of 26± | CT Energy Holding SRL - SC 13D - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 479: 1
Name of Reporting Person Oswaldo Cisneros Fajardo
| | Line 996: ITEM 2. Identity and Background.
(a) The undersigned hereby file this Schedule 13D Statement on behalf of CT Energy Holding SRL, a Barbados Society ... Liability (“CT Energy Holding”), CTVEN Investments SRL, a Barbados Society with Restricted Liability (“CTVEN”), Oswaldo Cisneros Fajardo , Francisco D’Agostino and Alessandro Bazzoni . CT Energy Holding, CTVEN, Mr. Cisneros Fajardo, Mr. D’Agostino and Mr. Bazzoni are sometimes referred to as the “Reporting Persons.” The Reporting Persons are ... may be deemed to constitute a “group” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934,
as amended (the “Act”), although neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that a group exists. | | Line 1,001: ... (b) — (c)
CT Energy Holding SRL is a Barbados Society with Restricted Liability, the principal purpose of which is to hold shares of the Common Stock. The members of CT Energy Holding are Mr. Cisneros Fajardo, who owns 65% of CT Energy Holding’s equity interests, and CTVEN, which owns the remaining 35%.
CTVEN Investments SRL is a Barbados Society with Restricted Liability, the principal purpose of which is to be a member of CT Energy Holding.
Mr. Cisneros Fajardo is a member of CT Energy Holding and serves as a member of the board of directors of the Issuer (the “Board”). Messrs. D’Agostino and Bazzoni are controlling persons of CT Energy Holding (together with Mr. Cisneros Fajardo) and of CTVEN. Mr. D’Agostino also serves as a member of the Board, and Mr. Bazzoni has been appointed as Director and General Manager - Venezuelan Operations.
The present principal occupation of Mr. Cisneros Fajardo is President of Corporación Digitel C.A., a telecommunications company. The present principal occupation of ... occupation of Mr. Bazzoni is Chief Executive Officer of CT Energia Holding, Ltd., an international energy company.
| | Line 1,025: ... prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
(f) Messrs. Cisneros Fajardo and D’Agostino are citizens of Venezuela and Mr. Bazzoni is a citizen of Italy.
| | Line 1,062: Pursuant to the Purchaser Agreement, the Issuer has granted to the Reporting Persons certain governance rights, including the following:
· Issuer Board Representation. The Reporting Persons have the right to appoint three members to the Board, at ... whom must be independent. On the Closing Date, the Board appointed the Reporting Persons’ initial designees, Messrs. Cisneros Fajardo and D’Agostino as well as Mr. Edgard Leal, as members of the Board effective immediately, and each of Dr. Igor ... that the Issuer’s stockholders elect such designees and to use reasonable best efforts to cause such designees to
be elected. | | Line 1,075:
· Petrodelta Board Representation. The Reporting Persons have the right to appoint the Issuer’s two ... of Petrodelta S.A. (“Petrodelta”). At the direction of the Reporting Persons, the Issuer has agreed to cause Mr. Cisneros Fajardo and Mr. Eduardo Pantin to be appointed to such positions.
| | Line 1,119: CT Energy Holding directly holds the Convertible Note, which is immediately convertible into 8,506,097 shares of Common Stock, as well as 69.75 Series C Shares.
Each of CTVEN and Mr. Cisneros Fajardo, as members of CT Energy Holding, may be deemed to be the beneficial owners of the securities beneficially owned by CT Energy Holding. Each of Messrs. D’Agostino and Bazzoni, as controlling persons of CT Energy Holding (together with Mr. Cisneros Fajardo) and of CTVEN, may be deemed to be the beneficial owner of the securities that are deemed to be beneficially owned by CTVEN. Each of CTVEN and of Messrs. Cisneros Fajardo, D’Agostino and Bazzoni disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
| | Line 1,498:
Oswaldo Cisneros Fajardo
| | Line 1,514: By:
/s/ Oswaldo Cisneros Fajardo
|
2: EX-99.10 Miscellaneous Exhibit -- HTML: 21K | EX-99.10 | 1st Page of 3± | CT Energy Holding SRL - SC 13D - re: Harvest Natural Resources, Inc. | No Page-Breaks | | Line 149:
Oswaldo Cisneros Fajardo
| | Line 163: By:
/s/ Oswaldo Cisneros Fajardo
|
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form and Document/Exhibit Types: | | SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. | | EX-99 | Miscellaneous Exhibit. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | | ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
|
