0001144204-15-035361.txt : 20150603
0001144204-15-035361.hdr.sgml : 20150603
20150603205846
ACCESSION NUMBER: 0001144204-15-035361
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150601
FILED AS OF DATE: 20150603
DATE AS OF CHANGE: 20150603
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Harvard Apparatus Regenerative Technology, Inc.
CENTRAL INDEX KEY: 0001563665
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 455210462
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 84 OCTOBER HILL ROAD
STREET 2: SUITE 11
CITY: HOLLISTON
STATE: MA
ZIP: 01746
BUSINESS PHONE: (508) 893-8999
MAIL ADDRESS:
STREET 1: 84 OCTOBER HILL ROAD
STREET 2: SUITE 11
CITY: HOLLISTON
STATE: MA
ZIP: 01746
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McNaughton Thomas
CENTRAL INDEX KEY: 0001449450
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35853
FILM NUMBER: 15911711
MAIL ADDRESS:
STREET 1: 84 OCTOBER HILL ROAD
CITY: HOLLISTON
STATE: MA
ZIP: 01746
4
1
v412427_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-06-01
0
0001563665
Harvard Apparatus Regenerative Technology, Inc.
HART
0001449450
McNaughton Thomas
C/O HARVARD APPARATUS REGENERATIVE TECH.
84 OCTOBER HILL ROAD, SUITE 11
HOLLISTON
MA
01746
0
1
0
0
Interim CEO & CFO
Common Stock
2015-06-01
4
P
0
3000
1.74
A
43128
D
Common Stock
2015-06-02
4
P
0
8000
1.80
A
51128
D
Common Stock
2015-06-03
4
P
0
5000
2.01
A
56128
D
This transaction was executed in multiple trades at prices ranging from $1.67 to $1.79. 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 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 42,023 shares of common stock held by the Reporting Person.
This transaction was executed in multiple trades at prices ranging from $1.76 to $1.90. 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 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 50,023 shares of common stock held by the Reporting Person.
This transaction was executed in multiple trades at prices ranging from $2.00 to $2.02. 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 570 restricted stock units which vest on Jan 1, 2016; (b) a deferred stock award of 535 stock units which vest in equal installments on Jan 1, 2016 and Jan 1, 2017; and (c) 55,023 shares of common stock held by the Reporting Person.
This form has been signed under power of attorney.
/s/ Thomas McNaughton
2015-06-03