0000921895-21-001455.txt : 20210521
0000921895-21-001455.hdr.sgml : 20210521
20210521161909
ACCESSION NUMBER: 0000921895-21-001455
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210519
FILED AS OF DATE: 20210521
DATE AS OF CHANGE: 20210521
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Green James W
CENTRAL INDEX KEY: 0001400121
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33957
FILM NUMBER: 21949243
MAIL ADDRESS:
STREET 1: 12525 CHADRON AVENUE
CITY: HAWTHORNE
STATE: CA
ZIP: 90250
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
form412799001_05212021.xml
OWNERSHIP DOCUMENT
X0306
4
2021-05-19
0
0001123494
HARVARD BIOSCIENCE INC
HBIO
0001400121
Green James W
C/O HARVARD BIOSCIENCE, INC.
84 OCTOBER HILL ROAD
HOLLISTON
MA
01746
1
1
0
0
Chief Executive Officer
Common Stock
2021-05-19
4
M
0
39188
2.63
A
2318966
D
Common Stock
2021-05-19
4
S
0
39188
7.17
D
2279778
D
Common Stock
2021-05-20
4
M
0
14876
2.63
A
2294654
D
Common Stock
2021-05-20
4
S
0
14876
7.03
D
2279778
D
Stock option (right to buy)
2.63
2021-05-19
4
M
0
39188
0
D
2027-06-11
Common Stock
39188
391878
D
Stock option (right to buy)
2.63
2021-05-20
4
M
0
14876
0
D
2027-06-11
Common Stock
14876
377002
D
Includes (a) an award of 194,698 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, (b) 163,606 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023, (c) 243,072 restricted stock units that will fully vest on July 8, 2021, (d) 209,180 remaining restricted stock units that will vest on January 1, 2022 and 2023, (e) 823,176 restricted stock units with performance based vesting conditions tied to relative total shareholder return, and (f) 685,234 shares of common stock beneficially owned by the Reporting Person.
This transaction was executed in multiple trades at prices ranging from $7.07 to $7.26, inclusive. The price reported above reflects the weighted average sale 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) the shares and awards described in footnote (1) above, less (b) the disposition of shares reported in footnote (2) above.
Includes (a) the shares and awards described in footnote (3) above, plus (b) the acquisition of 14,876 shares of common stock pursuant to the exercise of stock options as reported on this Form 4.
This transaction was executed in multiple trades at prices ranging from $7.02 to $7.05, inclusive. The price reported above reflects the weighted average sale 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) the shares and awards described in footnote (4) above, less (b) the disposition of shares reported in footnote (5) above.
The options vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.
/s/ David Sirois, by power of attorney
2021-05-21