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