Filing Details
- Accession Number:
- 0001209191-18-020046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-15 21:13:06
- Reporting Period:
- 2017-03-12
- Accepted Time:
- 2018-03-15 21:13:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1124927 | George Uveges | 207 Willow Brook Drive Wayland MA 01778-5124 | Yes | No | 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 | 2018-03-12 | 6,586 | $3.41 | 169,614 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-12 | 4,679 | $4.80 | 164,935 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2018-03-14 | 22,250 | $4.58 | 142,685 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Stock option (right to buy) | Disposition | 2018-03-12 | 6,586 | $0.00 | 6,586 | $3.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-05-22 | 2018-05-22 | No | 4 | M | Direct |
Footnotes
- Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 121,114 shares of common stock held by the Reporting Person.
- Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.
- Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 116,435 shares of common stock held by the Reporting Person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.65, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 94,185 shares of common stock held by the Reporting Person.
- Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.
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