SEC Form 4 · accession 0001144204-15-041449
Harvard Apparatus Regenerative Technology, Inc. · HRGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Joseph McGorry
Officer — President and CEO · Director
Period of report
Apr 10, 2014
Accepted (ET)
Jul 7, 2015 · 6:19 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 | Apr 10, 2014 | P | 10,000 | $8.84 | A | 10,000 | D | |
| Common Stock | Jun 2, 2015 | P | 20,000 | $1.90 | A | 30,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F2 | $1.38 | Jul 6, 2015 | A | 671,400 | A | — | Jul 6, 2025 | Common Stock, par value $0.01 per share | 671,400 | 671,400 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $8.82 to $8.91. 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
- F2The option shares vest in four equal installments on January 1, 2016, 2017, 2018 and 2019.
Remarks
Exhibit List: Exhibit 24 - Limited Power of Attorney