SEC Form 4 · accession 0001209191-17-036309
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
May 25, 2017
Accepted (ET)
May 30, 2017 · 8:46 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 | May 25, 2017 | A | 108,696 | $0.00 | A | 365,377 | D | |
| Common StockF3,F4 | May 25, 2017 | A | 108,696 | $0.00 | A | 474,073 | D | |
| Common StockF5,F6 | May 26, 2017 | P | 1,000 | $2.33 | A | 475,073 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019.
- F2Includes (a) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (b) a deferred stock award of 88,652 restricted stock units which shall vest in full on May 6, 2018; (c) a deferred stock award of 66,489 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (d) a deferred stock award of 13,250 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (e) 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 (f) 60,173 shares of common stock held by the Reporting Person.
- F3Represents a deferred stock award of 108,696 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021.
- F4Includes (a) a deferred stock award of 108,696 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021; (b) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (c) a deferred stock award of 88,652 restricted stock units which shall vest in full on May 6, 2018; (d) a deferred stock award of 66,489 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (e) a deferred stock award of 13,250 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (f) 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 (g) 60,173 shares of common stock held by the Reporting Person.
- F5This transaction was executed in multiple trades at prices ranging from $2.33 to $2.34. The price reported above reflects the weighted average 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 108,696 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021; (b) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (c) a deferred stock award of 88,652 restricted stock units which shall vest in full on May 6, 2018; (d) a deferred stock award of 66,489 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (e) a deferred stock award of 13,250 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (f) 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 (g) 61,173 shares of common stock held by the Reporting Person.
Remarks
This form has been signed under power of attorney.