0001493152-23-006611.txt : 20230302 0001493152-23-006611.hdr.sgml : 20230302 20230302200039 ACCESSION NUMBER: 0001493152-23-006611 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230228 FILED AS OF DATE: 20230302 DATE AS OF CHANGE: 20230302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREEN DAVID CENTRAL INDEX KEY: 0001008643 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35853 FILM NUMBER: 23701233 MAIL ADDRESS: STREET 1: C/O HARVARD BIOSCIENCE INC STREET 2: 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746-1371 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Biostage, 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: (774) 233-7300 MAIL ADDRESS: STREET 1: 84 OCTOBER HILL ROAD STREET 2: SUITE 11 CITY: HOLLISTON STATE: MA ZIP: 01746 FORMER COMPANY: FORMER CONFORMED NAME: Harvard Apparatus Regenerative Technology, Inc. DATE OF NAME CHANGE: 20121204 4 1 ownership.xml X0306 4 2023-02-28 0 0001563665 Biostage, Inc. BSTG 0001008643 GREEN DAVID 84 OCTOBER HILL RD SUITE 11 HOLLISTON MA 01746 1 1 0 0 CEO as of 2/28/2023 Stock Option (right to buy) 6.00 2023-02-28 4 A 0 39662 0 A 2033-02-28 Common Stock, par value $0.01 per share 39662 39662 D Stock Option (right to buy) 6.00 2023-02-28 4 A 0 38773 0 A 2033-02-28 Common Stock, par value $0.01 per share 38773 38773 D Stock Option (right to buy) 6.00 2023-02-28 4 A 0 732384 0 A 2033-02-28 Common Stock, par value $0.01 per share 732384 732384 D This stock option grant was fully exercisable as of date of grant. The non-qualified stock option was scheduled to vest during the twelve months following the grant date, but in connection with the Issuer's transition to a new CEO as of March 1, 2023, this option has been forfeited. The non-qualified stock option was scheduled to vest monthly in thirty-six equal monthly installments on each monthly anniversary of February 28, 2023, but in connection with the Issuer's transition to a new CEO as of March 1, 2023, 488,256 shares underlying this option have been forfeited, and subject to the Reporting Person's execution of a customary release, the remaining 244,128 shares will be deemed fully vested and exercisable. /s/ Joseph Damasio, by power of attorney 2023-03-02