SEC Form 4 · accession 0001209191-16-148156
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E. Gagnon
Officer — Chief Financial Officer
Period of report
Nov 2, 2016
Accepted (ET)
Nov 3, 2016 · 4:11 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 | Nov 2, 2016 | P | 5,000 | $2.33 | A | 247,549 | D | |
| Common StockF3,F4 | Nov 3, 2016 | P | 20,000 | $2.34 | A | 267,549 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in two trades at $2.3415 and $2.3258. The price reported above reflects the weighted average sale 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 88,652 restricted stock units which shall vest in full on May 6, 2018; (b) a deferred stock award of 88,652 restricted stock units which shall vest in four equal installments on January 1, 2017, 2018, 2019 and 2020; (c) a deferred stock award of 19,875 restricted stock units which shall vest in three equal installments on January 1, 2017, 2018 and 2019; (d) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 22,253 shares of common stock held by the Reporting Person.
- F3This transaction was executed in several trades between $2.30 and $2.40. The price reported above reflects the weighted average sale 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 88,652 restricted stock units which shall vest in full on May 6, 2018; (b) a deferred stock award of 88,652 restricted stock units which shall vest in four equal installments on January 1, 2017, 2018, 2019 and 2020; (c) a deferred stock award of 19,875 restricted stock units which shall vest in three equal installments on January 1, 2017, 2018 and 2019; (d) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 42,253 shares of common stock held by the Reporting Person.
Remarks
This form is signed under power of attorney.