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