SEC Form 4 · accession 0001628280-18-014307
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon C Biro
Officer — Chief Financial Officer
Period of report
Nov 13, 2018
Accepted (ET)
Nov 14, 2018 · 10:00 am EST
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 | Nov 13, 2018 | M | 8,000 | — | A | 8,000 | D | |
| Common Stock | Nov 13, 2018 | F | 1,948 | $5.29 | D | 6,052 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Nov 13, 2018 | M | 8,000 | D | — | — | Common Stock | 8,000 | 16,000 | D |
Explanation of responses
- F1Restricted stock units converted into voting common stock on a one-for-one basis.
- F2These restricted stock units were issued pursuant to a Restricted Stock Unit Inducement Award Agreement with the Reporting Person, and vest in three equal annual installments beginning on the first anniversary of the grant date.
- F3The amounts shown reflect the company's having effected a reverse split on January 31, 2018.