SEC Form 4 · accession 0001209191-17-036311
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yong Sun
Officer — VP - Commercial Operations
Period of report
Feb 6, 2017
Accepted (ET)
May 30, 2017 · 8:49 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 | 109,130 | $0.00 | A | 217,887 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F3 | $3.25 | Feb 6, 2017 | A | 10,000 | A | — | Feb 6, 2027 | Common Stock, par value $0.01 per share | 10,000 | 10,000 | D |
Explanation of responses
- F1Represents a deferred stock award of 109,130 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021.
- F2Includes (a) a deferred stock award of 109,130 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021; (b) a deferred stock award of 66,755 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (c) a deferred stock award of 8,612 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (d) a deferred stock award of 14,058 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) 19,332 shares of common stock held by the Reporting Person.
- F3The options vest in four equal installments on February 6, 2018, 2019, 2020 and 2021.
Remarks
The form is signed under power of attorney.