0000921895-21-000616.txt : 20210303 0000921895-21-000616.hdr.sgml : 20210303 20210303172345 ACCESSION NUMBER: 0000921895-21-000616 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210303 DATE AS OF CHANGE: 20210303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Olson Kenneth Fletcher CENTRAL INDEX KEY: 0001793360 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33957 FILM NUMBER: 21710578 MAIL ADDRESS: STREET 1: C/O HARVARD BIOSCIENCE, INC. STREET 2: 84 OCTOBER HILL ROAD #10 CITY: HOLLISTON STATE: MA ZIP: 01746 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 form412799ols_03032021.xml OWNERSHIP DOCUMENT X0306 4 2021-03-01 0 0001123494 HARVARD BIOSCIENCE INC HBIO 0001793360 Olson Kenneth Fletcher C/O HARVARD BIOSCIENCE, INC. 84 OCTOBER HILL ROAD HOLLISTON MA 01746 0 1 0 0 Chief Operating Officer Common Stock 2021-03-01 4 A 0 32805 0.00 A 119942 D Common Stock 2021-03-01 4 A 0 31453 0.00 A 151395 D Represents an award of 32,805 restricted stock units that will vest in three equal installments on December 31, 2021, 2022 and 2023, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. Includes (a) the award described in footnote (1) above, (b) 27,567 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023, (c) 36,756 restricted stock units with performance based vesting conditions tied to relative total shareholder return that will vest on June 11, 2021, 2022 and 2023, (d) 10,057 remaining restricted stock units that will vest on November 1, 2021 and 2022, and (e) 12,757 shares of common stock beneficially owned by the Reporting Person (which includes 3,644 shares acquired under the Issuer's Employee Stock Purchase Plan). Represents an award of 31,453 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2021 to the earlier of (i) December 31, 2023, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. 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 (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above. /s/ David Sirois, by power of attorney 2021-03-03