Filing Details
- Accession Number:
- 0001209191-18-042413
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-11 21:45:17
- Reporting Period:
- 2018-07-09
- Accepted Time:
- 2018-07-11 21:45:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1504983 | E. Robert Gagnon | C/O Harvard Bioscience, Inc. 84 October Hill Road Holliston MA 01746 | Chief Financial Officer | No | 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 | 2018-07-09 | 14,200 | $4.31 | 426,057 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-09 | 14,200 | $5.41 | 411,857 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-07-10 | 13,700 | $4.31 | 425,557 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-10 | 13,700 | $5.38 | 411,857 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-07-11 | 62,100 | $4.31 | 473,957 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-07-11 | 54,172 | $4.12 | 528,129 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-11 | 141,300 | $5.23 | 386,829 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| 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, Par Value $0.01 Per Share | Stock option (right to buy) | Disposition | 2018-07-09 | 14,200 | $0.00 | 150,000 | $4.31 |
| Common Stock, Par Value $0.01 Per Share | Stock option (right to buy) | Disposition | 2018-07-10 | 13,700 | $0.00 | 135,800 | $4.31 |
| Common Stock, Par Value $0.01 Per Share | stock option (right to buy) | Disposition | 2018-07-11 | 62,100 | $0.00 | 122,100 | $4.31 |
| Common Stock, Par Value $0.01 Per Share | Stock option (right to buy) | Disposition | 2018-07-11 | 54,172 | $0.00 | 100,000 | $4.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 135,800 | 2023-11-18 | No | 4 | M | Direct | |
| 122,100 | 2023-11-18 | No | 4 | M | Direct | |
| 60,000 | 2023-11-18 | No | 4 | M | Direct | |
| 45,828 | 2024-05-30 | Yes | 4 | M | Direct |
Footnotes
- The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)
- (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 76,771 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 $5.40 to $5.55, 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 this footnote (4).
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 62,571 shares of common stock held by the Reporting Person.
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 76,271 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 $5.275 to $5.45, 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 this footnote (7).
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 62,571 shares of common stock held by the Reporting Person.
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 124,671 shares of common stock held by the Reporting Person.
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 178,843 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 $5.20 to $5.30, 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 this footnote (11).
- Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 37,543 shares of common stock held by the Reporting Person.
- The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.
- The option vested in four equal annual installments on each of January 1, 2015, 2016, 2017 and 2018.
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