0001209191-18-035683.txt : 20180605 0001209191-18-035683.hdr.sgml : 20180605 20180605162549 ACCESSION NUMBER: 0001209191-18-035683 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180517 FILED AS OF DATE: 20180605 DATE AS OF CHANGE: 20180605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KENNEDY JOHN F CENTRAL INDEX KEY: 0001138315 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33957 FILM NUMBER: 18881473 MAIL ADDRESS: STREET 1: C/O NET PERCEPTIONS INC STREET 2: 7700 FRANCE AVE. SOUTH CITY: EDINA STATE: MN ZIP: 55435 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 doc4.xml FORM 4 SUBMISSION X0306 4 2018-05-17 0 0001123494 HARVARD BIOSCIENCE INC HBIO 0001138315 KENNEDY JOHN F C/O HARVARD BIOSCIENCE, INC. 84 OCTOBER HILL ROAD HOLLISTON MA 01746 1 0 0 0 Common Stock 2018-05-17 4 D 0 1650 0.00 D 308080 D Common Stock 2018-06-01 4 A 0 2400 0.00 A 310480 D The subject restricted stock units were granted to the reporting person on January 1, 2018 and were forfeited as a result of the reporting person no longer being the Chairman of the Compensation Committee of the Issuer. Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 10,425 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 279,555 shares of common stock held by the Reporting Person. Represents a deferred stock award of 2,400 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for his service on a committee of the Issuer's Board of Directors that the reporting person was appointed to following the 2018 Annual Meeting of Stockholders. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of March, rounded to the nearest 100 shares. Includes (a) a deferred stock award of 2,400 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018 as described in footnote 3 above; (b) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (c) a deferred stock award of 10,425 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (d) 279,555 shares of common stock held by the Reporting Person. This form has been signed under power of attorney. /s/ Chad Porter, by power of attorney 2018-06-05