SEC Form 4 · accession 0001628280-17-011592
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jon C Biro
Officer — Chief Financial Officer
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 3:18 pm EST
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 | — | Nov 13, 2017 | A | 240,000 | A | — | — | Common Stock | 240,000 | 240,000 | D |
| Stock Option (right to buy)F3 | $0.5317 | Nov 13, 2017 | A | 338,552 | A | — | Nov 13, 2027 | Common Stock | 338,552 | 338,552 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F2These restricted stock units were issued pursuant to a Restricted Stock Unit Inducement Award Agreement with the Reporting Person, and vest in three equal installments on the first through third anniversaries of the grant date.
- F3These 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.