SEC Form 4 · accession 0001209191-17-043259

HARVARD BIOSCIENCE INC · HBIO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jul 1, 2017

Accepted (ET)

Jul 5, 2017 · 4:09 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 Stock^F1,F2	Jul 1, 2017	A	6,500	$0.00	A	116,712	D
Common Stock	holding	—	—		—	2,000	I	by James W Green Revocable Trust

No Table II lines on this filing.

F1Represents a deferred stock award of 6,500 restricted stock units which vest quarterly in equal installments on September 30, 2017 and December 31, 2017. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for his service on a committee of the Issuer's Board of Directors that the reporting person was appointed to following the 2017 annual meeting of stockholders. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of April, rounded to the nearest 100 shares.
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 14,800 restricted stock units which vest quarterly in equal installments on September 30, 2017 and December 31, 2017; and (c) 70,612 shares of common stock held by the Reporting Person.

This form has been signed under power of attorney.