SEC Form 4 · accession 0001179110-16-021910
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shirish R Lal
Officer — Chief Operating Officer & CTO
Period of report
Mar 16, 2016
Accepted (ET)
Mar 18, 2016 · 3:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000045919
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 16, 2016 | A | 73,684 | $2.85 | A | 73,684 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.85 | Mar 16, 2016 | A | 120,371 | A | — | Mar 16, 2026 | Common Stock | 120,371 | 120,371 | D |
Explanation of responses
- F1These shares of restricted stock were issued pursuant to a Restricted Stock Inducement Award Agreement with the Reporting Person, and vest in three equal installments on the first through third anniversaries of the grant date.
- F2These securities were issued pursuant to a Nonqualified Stock Option Inducement Award Agreement with the Reporting Person, and vest in four equal installments on the first through fourth anniversaries of the grant date.