SEC Form 4 · accession 0001209191-18-046412
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
Aug 3, 2018
Accepted (ET)
Aug 13, 2018 · 4:12 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 | Aug 3, 2018 | F | 2,043 | $5.70 | D | 249,732 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on August 3, 2015.
- F2Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 74,076 shares of common stock held by the Reporting Person.
Remarks
The form is signed under power of attorney.