SEC Form 4 · accession 0001209191-18-018918
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
Mar 8, 2018
Accepted (ET)
Mar 12, 2018 · 5:35 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 | Mar 8, 2018 | A | 8,888 | $0.00 | A | 207,397 | D | |
| Common StockF2,F3 | Mar 8, 2018 | F | 2,539 | $4.50 | D | 204,858 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 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) 62,683 shares of common stock held by the Reporting Person.
- F2The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with unrestricted stock award granted on March 8, 2018.
- F3Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 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) 60,144 shares of common stock held by the Reporting Person.
Remarks
This form has been signed under power of attorney.