SEC Form 4 · accession 0000045876-18-000040

HARSCO CORP · HSC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP and CFO

Period of report

Mar 2, 2018

Accepted (ET)

Mar 6, 2018 · 4:21 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000045876

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Mar 3, 2018	M	5,961	$0.00	A	52,561	D
Common Stock	Mar 3, 2018	F	1,691	$0.00	D	50,870	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F2	—	Mar 3, 2018	M	5,961	D	—	—	Common Stock	5,961	50,079	D
Restricted Stock Units^F3	—	Mar 2, 2018	A	12,745	A	—	—	Common Stock	12,745	62,824	D
Stock Appreciation Rights^F4	$19.80	Mar 2, 2018	A	27,550	A	—	Mar 2, 2028	Common Stock	27,550	27,550	D
Performance Share Units^F5	—	Mar 2, 2018	A	12,745	A	—	Dec 31, 2020	Common Stock	12,745	12,745	D

F1Restricted Stock Units convert into common stock on a one-for-one basis.
F2On March 3, 2017 the reporting person was granted 17,884 restricted stock units of which one-third vested on the first anniversary of the grant date.
F3Restricted stock units granted under the 2013 Equity and Incentive Compensation Plan represent a contingent right to receive Harsco common stock on a one-for-one basis when the restricted stock units vest. The restricted stock units vest in one-third increments on each of the first three anniversaries of the date of the grant.
F4The stock appreciation rights vest in one-third increments on each of the first three anniversaries of the date of grant.
F5Each performance share unit represents a contingent right to receive the equivalent of one share of Harsco common stock. The performance share units vest based on the total shareholder return of Harsco common stock relative to the S&P 600 Industrial Index. The performance share units vest on 12/31/2020.