SEC Form 4 · accession 0001209191-15-034120
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Green
Director
Period of report
Apr 10, 2015
Accepted (ET)
Apr 14, 2015 · 7:30 pm EDT
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,F2,F3 | Apr 10, 2015 | S | 29,336 | $6.68 | D | 865,085 | D | |
| Common StockF4,F5 | Apr 13, 2015 | S | 23,700 | $6.56 | D | 841,385 | D | |
| Common StockF6,F7 | Apr 14, 2015 | S | 27,132 | $6.57 | D | 814,253 | D | |
| Common StockF2 | holding | — | — | — | 322,124 | I | David Green 2015-1 Annuity Trust | |
| Common Stock | holding | — | — | — | 300,000 | I | David Green 2013 Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $6.53 to $6.81. The price reported above reflects the weighted average sale [or purchase] price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2Reflects the transfer of 322,124 shares of common stock on March 12, 2015 from the reporting person to the David Green 2015-1 Annuity Trust.
- 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) 789,095 shares of common stock held by the Reporting Person.
- F4This transaction was executed in multiple trades at prices ranging from $6.45 to $6.62. The price reported above reflects the weighted average sale [or purchase] price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- 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) 765,395 shares of common stock held by the Reporting Person.
- F6This transaction was executed in multiple trades at prices ranging from $6.45 to $6.60. The price reported above reflects the weighted average sale [or purchase] price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- 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) 738,263 shares of common stock held by the Reporting Person.
Remarks
The reported sales were made pursuant to the terms of a 10b5-1 trading plan. This form has been signed under power of attorney.