SEC Form 4 · accession 0001628280-18-007847
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred Victor Tobia Jr.
Director
Period of report
Jun 12, 2018
Accepted (ET)
Jun 14, 2018 · 10:26 am 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 Stock, $1.00 par valueF2 | Jun 12, 2018 | J | 20,000 | $11.66 | D | 12,669 | I | By Managed Account of Sidus Investment Management, LLC |
| Common Stock, $1.00 par valueF3 | Jun 12, 2018 | J | 10,667 | $11.66 | A | 75,911 | I | By Sidus Double Alpha Fund, L.P. |
| Common Stock, $1.00 par valueF4 | Jun 12, 2018 | J | 5,155 | $11.66 | A | 36,685 | I | By Sidus Double Alpha Fund, Ltd. |
| Common Stock, $1.00 par valueF5 | Jun 12, 2018 | J | 4,178 | $11.66 | A | 29,733 | I | By Sidus Investment Partners, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a cross-trade between the Managed Account and each of Sidus Double Alpha, Sidus Double Alpha Offshore and Sidus Partners, in which the Managed Account disposed of and each of Sidus Double Alpha, Sidus Double Alpha Offshore and Sidus Partners acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Person.
- F2Shares of common stock held in an account for which Sidus Investment Management, LLC ("Sidus Management") serves as a sub-advisor (the "Managed Account"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the sub-advisor to the Managed Account, may be deemed to beneficially own the shares of common stock directly held in the Managed Account for purposes of Section 16 ofthe Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
- F3Shares of common stock owned directly by Sidus Double Alpha Fund, L.P. ("Sidus Double Alpha"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
- F4Shares of common stock owned directly by Sidus Double Alpha Fund, Ltd. ("Sidus Double Alpha Offshore"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha Offshore, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha Offshore for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
- F5Shares of common stock owned directly by Sidus Investment Partners, L.P. ("Sidus Partners"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Partners, may be deemed to beneficially own the shares of common stock directly held by Sidus Partners for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.