Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 2:44PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
Gill Jeswant |
2. Issuer Name and Ticker or Trading Symbol
HARSCO CORP
[
HSC
]
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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) SVP - Group President Rail |
(Last)
(First)
(Middle)
2401 EDMUND HIGHWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
WEST COLUMBIA, SC 29170
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 | 3/2/2021 | | M | | 2259 | A | $0 | 44902 | D | |
Common Stock | 3/2/2021 | | F | | 990 | D | $17.02 | 43912 | 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) | 3/1/2021 | | A | | 7661 | | (1) | (1) | Common Stock | 7661.0 | $0 | 27969 | D | |
Performance Share Units | (2) | 3/1/2021 | | A | | 7661 | | (2) | 12/31/2023 | Common Stock | 7661.0 | $0 | 27818 | D | |
Stock Appreciation Rights | $18.58 | 3/1/2021 | | A | | 13582 | | (3) | 3/1/2031 | Common Stock | 13582.0 | $0 | 13582 | D | |
Restricted Stock Units | (1) | 3/2/2021 | | M | | | 2259 | (4) | (4) | Common Stock | 2259.0 | $0 | 25710 | D | |
Explanation of Responses: |
(1) | Restricted stock units granted under the 2013 Equity and Incentive Compensation Plan represent a contingent right to receive Harsco common stock on a one-for-one basis when the restricted stock units vest. The restricted stock units vest in one-third increments on each of the first three anniversaries of the date of the grant. |
(2) | Each performance share unit represents a contingent right to receive the equivalent of one share of Harsco common stock. The performance share units vest based on the total shareholder return of Harsco common stock relative to the S&P 600 Industrials Index. The performance share units vest on 12/31/2023. |
(3) | The stock appreciation rights vest in one-third increments on each of the first three anniversaries of the date of grant. |
(4) | On March 2, 2018 the reporting person was granted 6,777 restricted stock units of which one-third vested on the third anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gill Jeswant 2401 EDMUND HIGHWAY WEST COLUMBIA, SC 29170 |
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| SVP - Group President Rail |
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Signatures
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/s/ Jeswant Gill | | 3/3/2021 |
**Signature of Reporting Person | Date |
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