HARVEST NATURAL RESOURCES, INC.
Proposal 1.
TO APPROVE AN AMENDMENT TO OUR CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF OUR COMMON STOCK FROM 80,000,000 TO 150,000,000.
Caisse vote:
For
Applicable policy or principle:
PR_03
Proposal 2.
TO APPROVE THE ISSUANCE OF SHARES OF COMMON STOCK UPON CONVERSION OF THE SENIOR SECURED CONVERTIBLE NOTE AND EXERCISE OF THE WARRANT ISSUED TO CT ENERGY HOLDING SRL FOR PURPOSES OF SECTION 312.03 OF THE NYSE LISTED COMPANY MANUAL.
Caisse vote:
For
Applicable policy or principle:
PR_03
Proposal 3.
TO APPROVE THE ISSUANCE OF SHARES OF OUR COMMON STOCK UPON THE EXERCISE OF CT ENERGY HOLDING SRL'S PREEMPTIVE RIGHTS, AT ANY TIME PRIOR TO JUNE 19, 2020, TO PARTICIPATE PRO RATA IN ANY OF OUR FUTURE FINANCINGS FOR PURPOSES OF SECTION 312.03 OF THE NYSE LISTED COMPANY MANUAL.
Caisse vote:
For
Applicable policy or principle:
PR_03
Proposal 4.
Election of STEPHEN D. CHESEBRO' as director
Caisse vote:
Withold
Applicable policy or principle:
PR_10
Proposal 4.
Election of OSWALDO CISNEROS as director
Caisse vote:
For
Applicable policy or principle:
PR_05_01
Proposal 4.
Election of FRANCISCO D'AGOSTINO as director
Caisse vote:
For
Applicable policy or principle:
PR_05_01
Proposal 4.
Election of JAMES A. EDMISTON as director
Caisse vote:
Withold
Applicable policy or principle:
PR_10
Proposal 4.
Election of ROBERT E. IRELAN as director
Caisse vote:
Withold
Applicable policy or principle:
PR_10
Proposal 4.
Election of EDGARD LEAL as director
Caisse vote:
For
Applicable policy or principle:
PR_05_01
Proposal 4.
Election of PATRICK M. MURRAY as director
Caisse vote:
Withold
Applicable policy or principle:
PR_10
Proposal 5.
TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015.
Caisse vote:
For
Applicable policy or principle:
PR_06
Proposal 6.
TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE COMPENSATION.
Caisse vote:
Against
Applicable policy or principle:
PR_07_06
Proposal 7.
TO APPROVE AN AMENDMENT TO OUR 2010 LONG-TERM INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES OF COMMON STOCK AVAILABLE FOR ISSUANCE FROM 2,725,000 TO 7,725,000 AND THE NUMBER OF SHARES OF COMMON STOCK THAT MAY BE GRANTED IN THE FORM OF FULL VALUE AWARDS FROM 700,000 TO 2,425,000.
Caisse vote:
Against
Applicable policy or principle:
PR_07_02
Proposal 8.
TO APPROVE AN ADJOURNMENT OF THE MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING PROPOSALS.
Caisse vote:
Against
Applicable policy or principle:
PR_03