Amended Statement of Changes in Beneficial Ownership (4/a)
March 05 2021 - 5:05PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KEARNES LAURILEE |
2. Issuer Name and Ticker or Trading Symbol
HARTE HANKS INC
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HRTH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
2800 WELLS BRANCH PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/8/2020 |
(Street)
AUSTIN, TX 78728
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/9/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/8/2020 | | A | | 65000 | A | $0 | 105474 | D | |
Common Stock | 9/6/2020 | | M | | 4386 | A | (1) | 105474 | D | |
Common Stock | 9/6/2020 | | F | | 1068 (2) | D | $1.75 | 104406 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 9/6/2020 | | M | | | 4386 | (3) | (3) | Common Stock | 4386 | $0 | 8772 | D | |
Explanation of Responses: |
(1) | Restricted stock units ("RSU") convert into common stock on a one-for-one basis. |
(2) | Represents shares withheld to offset the reporting person's tax obligations upon vesting of the RSUs. |
(3) | On September 6, 2019, the reporting person was granted 13,158 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
Remarks: This Form 4A is being filed only to correct the reported amount of securities beneficially owned following the reported transactions. The original report inadvertently reported the amount of shares beneficially owned following the issuance of stock in respect of RSUs as 5,386 instead of 110,860 and the amount beneficially owned after the offset of shares for tax withholding purposes as 4,386 instead of 109,792. There were no other changes made to the information in the original filing. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KEARNES LAURILEE 2800 WELLS BRANCH PARKWAY AUSTIN, TX 78728 |
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| Chief Financial Officer |
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Signatures
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/s/ Laurilee Kearnes | | 3/5/2021 |
**Signature of Reporting Person | Date |