SEC Form 4 · accession 0001179110-17-009724
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank M Grillo
Officer — EVP & Chief Marketing Officer
Period of report
Jun 23, 2017
Accepted (ET)
Jun 27, 2017 · 6:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000045919
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jun 23, 2017 | A | 112,676 | A | — | — | Common Stock | 112,676 | 112,676 | D |
| Stock Appreciation RightF3 | $0.97 | Jun 23, 2017 | A | 169,014 | A | — | — | Common Stock | 169,014 | 169,014 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one (1) share of Issuer's common stock.
- F2These restricted stock units were issued pursuant to the Harte-Hanks, Inc. 2013 Omnibus Incentive Plan and vest in three equal installments on the first through third anniversaries of the grant date.
- F3These stock appreciation rights were granted under the Harte-Hanks, Inc. 2013 Omnibus Incentive Plan and vest and become exercisable for cash in four equal installments on the first through fourth anniversaries of the grant date. All such stock appreciation rights shall expire on the tenth anniversary of the grant date.