0001209191-19-056373.txt : 20191113 0001209191-19-056373.hdr.sgml : 20191113 20191113163044 ACCESSION NUMBER: 0001209191-19-056373 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191108 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOY BERTRAND CENTRAL INDEX KEY: 0001197452 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33957 FILM NUMBER: 191214400 MAIL ADDRESS: STREET 1: C/O ENTEGRIS, INC. STREET 2: 129 CONCORD RD CITY: BILLERICA STATE: MA ZIP: 01821 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 2019-11-08 0 0001123494 HARVARD BIOSCIENCE INC HBIO 0001197452 LOY BERTRAND C/O HARVARD BIOSCIENCE, INC. 84 OCTOBER HILL RD. HOLLISTON MA 01746 1 0 0 0 Common Stock 2019-11-08 4 P 0 6616 2.64 A 163959 D Common Stock 2019-11-11 4 P 0 12855 2.59 A 176814 D Common Stock 2019-11-12 4 P 0 10579 2.51 A 187393 D Common Stock 2019-11-13 4 P 0 6100 2.52 A 193493 D Common Stock 68466 I by The BZH Trust This transaction was executed in multiple trades at prices ranging from $2.52 to $2.75, inclusive. The price reported above reflects the weighted average purchase 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) a deferred stock award of 3,300 restricted stock units which vests in full on December 31, 2019; (b) 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; (c) a deferred stock award of 3,500 restricted stock units which vests in full on December 31, 2019; and (d) 122,059 shares of common stock held by the Reporting Person This transaction was executed in multiple trades at prices ranging from $2.57 to $2.70, inclusive. The price reported above reflects the weighted average purchase 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 the awards referenced in clauses (a) through (c) of footnote (2) above, plus 134,914 shares of common stock held by the Reporting Person. This transaction was executed in multiple trades at prices ranging from $2.49 to $2.58, inclusive. The price reported above reflects the weighted average purchase 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 the awards referenced in clauses (a) through (c) of footnote (2) above, plus 145,493 shares of common stock held by the Reporting Person. This transaction was executed in multiple trades at prices ranging from $2.48 to $2.54, inclusive. The price reported above reflects the weighted average purchase 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 the awards referenced in clauses (a) through (c) of footnote (2) above, plus 151,593 shares of common stock held by the Reporting Person. This form has been signed under power of attorney. /s/ Chad Porter, by power of attorney 2019-11-13