SEC Form 4 · accession 0001209191-15-035726
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Green
Director
Period of report
Apr 20, 2015
Accepted (ET)
Apr 23, 2015 · 4:51 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 | Apr 20, 2015 | S | 24,116 | $6.31 | D | 747,634 | D | |
| Common StockF3,F4 | Apr 21, 2015 | S | 53,413 | $6.33 | D | 694,221 | D | |
| Common StockF5,F6 | Apr 22, 2015 | S | 46,468 | $6.07 | D | 647,753 | D | |
| Common Stock | 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 $6.25 to $6.49. 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.
- F2Includes (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) 671,644 shares of common stock held by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $6.22 to $6.45. 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.
- 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) 618,231 shares of common stock held by the Reporting Person.
- F5This transaction was executed in multiple trades at prices ranging from $6.03 to $6.26. 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.
- 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) 571,763 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.