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