0001209191-19-041546.txt : 20190709
0001209191-19-041546.hdr.sgml : 20190709
20190709161639
ACCESSION NUMBER: 0001209191-19-041546
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190708
FILED AS OF DATE: 20190709
DATE AS OF CHANGE: 20190709
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Green James W
CENTRAL INDEX KEY: 0001400121
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33957
FILM NUMBER: 19947409
MAIL ADDRESS:
STREET 1: 12525 CHADRON AVENUE
CITY: HAWTHORNE
STATE: CA
ZIP: 90250
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HARVARD BIOSCIENCE INC
CENTRAL INDEX KEY: 0001123494
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 043306140
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 84 OCTOBER HILL RD
CITY: HOLLISTON
STATE: MA
ZIP: 01746
BUSINESS PHONE: 5088938999
MAIL ADDRESS:
STREET 1: 84 OCTOBER HILL ROAD
CITY: HOLLISTON
STATE: MA
ZIP: 01746
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-07-08
0
0001123494
HARVARD BIOSCIENCE INC
HBIO
0001400121
Green James W
C/O HARVARD BIOSCIENCE, INC.
84 OCTOBER HILL ROAD
HOLLISTON
MA
01746
1
1
0
0
Chief Executive Officer
Common Stock
2019-07-08
4
D
0
5275
0.00
D
210737
D
Common Stock
2019-07-08
4
A
0
202875
0.00
A
413612
D
Common Stock
2019-07-08
4
A
0
243072
0.00
A
656684
D
Common Stock
2019-07-08
4
A
0
418360
0.00
A
1075044
D
Common Stock
2019-07-08
4
A
0
418360
0.00
A
1493404
D
Common Stock
2000
I
by James W. Green Revocable Trust
The subject restricted stock units were granted to the Reporting Person on January 2, 2019 and were forfeited as a result of the Reporting Person transitioning to his role as President and Chief Executive of the Issuer as of July 8, 2019, and stepping down from his roles as member of the Governance Committee and member of the Compensation Committee.
Includes (a) deferred stock award of 35,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 16, 2019, immediately prior to the commencement of such meeting, and (ii) May 23, 2020; and (b) 175,637 shares of common stock held by the Reporting Person.
Represents a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020.
Includes the equity described in footnotes (2) and (3).
Represents a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021.
Includes the equity described in footnotes (2), (3) and (5).
Represents a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.
Includes the equity described in footnotes (2), (3), (5) and (7).
Represents a deferred stock award of 418,360 restricted stock units with performance based vesting conditions. These restricted stock units shall vest based on the achievement of a relative total shareholder return of the Issuer's common stock from July 8, 2019 to the earlier of (i) July 8, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.
Includes the equity described in footnotes (2), (3), (5), (7) and (9).
This form has been signed under power of attorney.
/s/ Chad Porter, by power of attorney
2019-07-09