SEC Form 4 · accession 0001144204-17-015099
Harvard Apparatus Regenerative Technology, Inc. · HRGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas McNaughton
Officer — Chief Financial Officer
Period of report
Mar 14, 2017
Accepted (ET)
Mar 16, 2017 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563665
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.38 | Mar 14, 2017 | A | 150,750 | A | — | Mar 14, 2027 | Common Stock, par value $0.01 per share | 150,750 | 150,750 | D |
| Restricted Stock UnitsF2,F3 | — | Mar 14, 2017 | A | 74,250 | A | — | — | Common Stock, par value $0.01 per share | 74,250 | 74,250 | D |
Explanation of responses
- F1The option shares vest in four equal installments on March 14, 2018, 2019, 2020 and 2021.
- F2Restricted stock units granted by the Issuer pursuant to its 2013 Equity Incentive Plan and qualified under Rule 16b-3(d). Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer.
- F3The restricted stock units vest and settle in four equal installments on March 14, 2018, 2019, 2020 and 2021.
Remarks
This form has been signed under power of attorney.