SEC Form 4 · accession 0001144204-15-035361
Harvard Apparatus Regenerative Technology, Inc. · HRGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas McNaughton
Officer — Interim CEO & CFO
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 8:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563665
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 1, 2015 | P | 3,000 | $1.74 | A | 43,128 | D | |
| Common StockF3,F4 | Jun 2, 2015 | P | 8,000 | $1.80 | A | 51,128 | D | |
| Common StockF5,F6 | Jun 3, 2015 | P | 5,000 | $2.01 | A | 56,128 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $1.67 to $1.79. 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.
- F2Includes (a) a deferred stock award of 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 42,023 shares of common stock held by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $1.76 to $1.90. 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.
- F4Includes (a) a deferred stock award of 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 50,023 shares of common stock held by the Reporting Person.
- F5This transaction was executed in multiple trades at prices ranging from $2.00 to $2.02. 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.
- F6Includes (a) a deferred stock award of 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 55,023 shares of common stock held by the Reporting Person.
Remarks
This form has been signed under power of attorney.