Filing Details
- Accession Number:
- 0000921895-21-001420
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-19 17:22:50
- Reporting Period:
- 2021-05-18
- Accepted Time:
- 2021-05-19 17:22:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1123494 | Harvard Bioscience Inc | HBIO | Laboratory Analytical Instruments (3826) | 043306140 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1400121 | W James Green | C/O Harvard Bioscience, Inc. 84 October Hill Road Holliston MA 01746 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-05-18 | 39,188 | $2.63 | 2,318,966 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-18 | 39,188 | $7.41 | 2,279,788 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock option (right to buy) | Disposition | 2021-05-18 | 39,188 | $0.00 | 39,188 | $2.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 431,066 | 2027-06-11 | No | 4 | M | Direct |
Footnotes
- Includes (a) an award of 194,698 restricted stock units that will vest in three equal installments on December 31, 2021, 2022 and 2023, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person, (b) 163,606 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023, (c) 243,072 restricted stock units that will fully vest on July 8, 2021, (d) 209,180 remaining restricted stock units that will vest on January 1, 2022 and 2023, (e) 823,176 restricted stock units with performance based vesting conditions tied to relative total shareholder return, and (f) 685,234 shares of common stock beneficially owned by the Reporting Person.
- This transaction was executed in multiple trades at prices ranging from $7.34 to $7.52, inclusive. The price reported above reflects the weighted average sale 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.
- Includes (a) the shares and awards described in footnote (1) above, less (b) the disposition of shares reported in footnote (2) above.
- The options vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.
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