SEC Form 4 · accession 0001209191-17-036313
HARVARD BIOSCIENCE INC · HBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Earl R Lewis
Director
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 8:53 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 | 31,300 | $0.00 | A | 455,112 | D | |
| Common StockF3 | May 25, 2017 | P | 5,000 | $2.38 | A | 460,112 | D | |
| Common StockF4,F5 | May 25, 2017 | P | 7,238 | $2.33 | A | 467,350 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a deferred stock award of 31,300 restricted stock units which fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018.
- F2Includes (a) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; (b) a deferred stock award of 9,450 restricted stock units which vest quarterly in equal installments on June 30, 2017, September 30, 2017 and December 31, 2017; and (c) 414,362 shares of common stock held by the Reporting Person.
- F3Includes (a) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; (b) a deferred stock award of 9,450 restricted stock units which vest quarterly in equal installments on June 30, 2017, September 30, 2017 and December 31, 2017; and (c) 419,362 shares of common stock held by the Reporting Person.
- F4This transaction was executed in multiple trades at prices ranging from $2.31 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.
- F5Includes (a) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; (b) a deferred stock award of 9,450 restricted stock units which vest quarterly in equal installments on June 30, 2017, September 30, 2017 and December 31, 2017; and (c) 426,600 shares of common stock held by the Reporting Person.
Remarks
This form has been signed under power of attorney.