SEC Form 4 · accession 0001493152-16-009193
HARROW, INC. · HROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R. Boll
Officer — Chief Financial Officer
Period of report
Apr 25, 2016
Accepted (ET)
Apr 26, 2016 · 7:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001360214
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Executive RSUF1 | $0.00 | Apr 25, 2016 | A | 157,500 | A | Apr 25, 2016 | Apr 25, 2021 | Common Stock | 157,500 | 157,500 | D |
| Executive RSUF2 | $0.00 | Apr 25, 2016 | D | 157,500 | D | Feb 1, 2015 | Apr 25, 2016 | Common Stock | 157,500 | 0 | D |
Explanation of responses
- F1Represents performance-based restricted stock units (the "RSUs") granted under the Issuer's 2007 Stock Incentive and Awards Plan (the "Plan"). The RSUs settle in one share of common stock for each RSU on the fifth anniversary of the grant date and provide for accelerated vesting based on pre-determined stock-price based performance targets during the term of the RSUs.
- F2Represents RSUs granted under the Plan to Mr. Boll on February 1, 2015, which were forfeited by Mr. Boll on April 25, 2016, with the approval of the board of directors of the Issuer, upon issuance of the new RSUs indicated in footnote 1.