SEC Form 4/A · accession 0001628280-19-001013
HARTE HANKS INC · HHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Timothy E. Breen
Officer — CEO · Director
Period of report
Jan 31, 2019
Accepted (ET)
Feb 6, 2019 · 11:20 am 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 UnitsF2,F1 | — | Jan 17, 2019 | J | 150,000 | A | — | — | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. These restricted stock units were issued pursuant to the Harte-Hanks, Inc. 2013 Omnibus Incentive Plan and the corresponding Restricted Stock Unit Award Agreement, and vest if, following a period of at least one full year from the date of grant, the closing price of a share of the Issuer's common stock for 30 consecutive days following the grant date reaches (i) $6.00 per share for the first one-third of the restricted stock units, (ii) $10.00 per share for the second one-third of the restricted stock units and (iii) $12.50 per share for the final one-third of the restricted stock units.
- F2This Form 4 amendment amends and restates the original Form 4, filed on January 22, 2019, to correct an error in the number of restricted stock units originally granted and to reduce the number of restricted stock units granted from 236,594 to 150,000.