SEC Form 4 · accession 0001209191-15-060811
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Green
Director
Period of report
Jul 10, 2015
Accepted (ET)
Jul 14, 2015 · 5:11 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 | Jul 10, 2015 | S | 26,475 | $5.28 | D | 517,178 | D | |
| Common StockF3,F4 | Jul 13, 2015 | S | 10,527 | $5.29 | D | 506,651 | D | |
| Common StockF5,F6 | Jul 14, 2015 | S | 14,595 | $5.27 | D | 492,056 | 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 $5.25 to $5.35. 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 29,215 restricted stock units which vest on January 1, 2016; (b) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; (c) a deferred stock award of 14,400 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 4, 2015, immediately prior to the commencement of such meeting, and (ii) June 4, 2016; and (d) 446,188 shares of common stock held by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $5.25 to $5.33. 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 29,215 restricted stock units which vest on January 1, 2016; (b) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; (c) a deferred stock award of 14,400 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 4, 2015, immediately prior to the commencement of such meeting, and (ii) June 4, 2016; and (d) 435,661 shares of common stock held by the Reporting Person.
- F5This transaction was executed in multiple trades at prices ranging from $5.25 to $5.30. 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 29,215 restricted stock units which vest on January 1, 2016; (b) a deferred stock award of 27,375 restricted stock units which vest in equal installments on January 1, 2016 and January 1, 2017; (c) a deferred stock award of 14,400 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 4, 2015, immediately prior to the commencement of such meeting, and (ii) June 4, 2016; and (d) 421,066 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. Exhibit List: Exhibit 24 - Limited Power of Attorney.