SEC Form 4 · accession 0001209191-15-022912
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Green
Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 4:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001123494
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2015 | M | 23,351 | $4.04 | A | 917,772 | D | |
| Common StockF2,F3 | Mar 3, 2015 | F | 17,121 | $5.51 | D | 900,651 | D | |
| Common StockF4 | Mar 3, 2015 | M | 23,648 | $3.99 | A | 924,299 | D | |
| Common StockF2,F5 | Mar 3, 2015 | F | 17,124 | $5.51 | D | 907,175 | D | |
| Common StockF6 | Mar 3, 2015 | M | 98,894 | $1.43 | A | 1,006,069 | D | |
| Common StockF2,F7 | Mar 3, 2015 | F | 49,502 | $5.51 | D | 956,567 | D | |
| Common StockF8 | Mar 3, 2015 | M | 41,646 | $2.28 | A | 998,213 | D | |
| Common StockF2,F9 | Mar 3, 2015 | F | 17,233 | $5.51 | D | 980,980 | D | |
| Common StockF10 | Mar 3, 2015 | M | 485,469 | $2.28 | A | 1,466,449 | D | |
| Common StockF2,F11 | Mar 3, 2015 | F | 294,523 | $5.51 | D | 1,171,926 | D | |
| Common StockF12 | Mar 3, 2015 | M | 239,799 | $3.99 | A | 1,411,725 | D | |
| Common StockF2,F13 | Mar 3, 2015 | F | 195,180 | $5.51 | D | 1,216,545 | D | |
| Common Stock | holding | — | — | — | 300,000 | I | David Green 2013 Annuity Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F14 | $4.04 | Mar 3, 2015 | M | 23,351 | D | Jan 1, 2014 | Jun 2, 2021 | Common Stock, par value $0.01 per share | 23,351 | 23,351 | D |
| Stock option (right to buy)F14 | $3.99 | Mar 3, 2015 | M | 23,648 | D | Jan 1, 2011 | May 1, 2017 | Common Stock, par value $0.01 per share | 23,648 | 0 | D |
| Stock option (right to buy)F14 | $1.43 | Mar 3, 2015 | M | 98,894 | D | Jan 1, 2011 | Dec 4, 2018 | Common Stock, par value $0.01 per share | 98,894 | 0 | D |
| Stock option (right to buy)F14 | $2.28 | Mar 3, 2015 | M | 41,646 | D | Jan 1, 2012 | May 21, 2019 | Common Stock, par value $0.01 per share | 41,646 | 0 | D |
| Stock option (right to buy)F14 | $2.28 | Mar 3, 2015 | M | 485,469 | D | Jan 1, 2010 | May 21, 2019 | Common Stock, par value $0.01 per share | 485,469 | 0 | D |
| Stock option (right to buy)F14 | $3.99 | Mar 3, 2015 | M | 239,799 | D | Jan 1, 2008 | May 1, 2017 | Common Stock, par value $0.01 per share | 239,799 | 0 | D |
Explanation of responses
- F1Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 841,782 shares of common stock held by the Reporting Person.
- F10Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 1,390,459 shares of common stock held by the Reporting Person.
- F11Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 1,095,936 shares of common stock held by the Reporting Person.
- F12Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 1,335,735 shares of common stock held by the Reporting Person.
- F13Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 1,140,555 shares of common stock held by the Reporting Person.
- F14Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.
- F2Represents the number of shares of common stock deemed to be owned by the Reporting Person in accordance with the Issuer's 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and related withholding taxes. With respect to each option exercise, the Issuer only delivered the net amount of the option shares to the Reporting Person. Shares of common stock in connection with the payment of the option exercise price and related withholding taxes were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such net exercise to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.
- F3Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 824,661 shares of common stock held by the Reporting Person.
- F4Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 848,309 shares of common stock held by the Reporting Person.
- F5Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 831,185 shares of common stock held by the Reporting Person.
- F6Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 930,079 shares of common stock held by the Reporting Person.
- F7Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 880,577 shares of common stock held by the Reporting Person.
- F8Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 922,223 shares of common stock held by the Reporting Person.
- F9Includes (a) a deferred stock award of 19,400 restricted stock units which vest on May 30, 2015; (b) a deferred stock award of 29,215 restricted stock units which vest on January 1, 2016; (c) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; and (d) 904,990 shares of common stock held by the Reporting Person.