4//SEC Filing
UVEGES GEORGE 4
Accession 0001209191-18-020046
CIK 0001123494other
Filed
Mar 14, 8:00 PM ET
Accepted
Mar 15, 9:13 PM ET
Size
13.1 KB
Accession
0001209191-18-020046
Insider Transaction Report
Form 4
UVEGES GEORGE
Director
Transactions
- Tax Payment
Common Stock
2018-03-12$4.80/sh−4,679$22,459→ 164,935 total - Exercise/Conversion
Stock option (right to buy)
2018-03-12−6,586→ 0 totalExercise: $3.41From: 2011-05-22Exp: 2018-05-22→ Common Stock, par value $0.01 per share (6,586 underlying) - Sale
Common Stock
2018-03-14$4.58/sh−22,250$101,905→ 142,685 total - Exercise/Conversion
Common Stock
2018-03-12$3.41/sh+6,586$22,458→ 169,614 total
Footnotes (6)
- [F1]Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 121,114 shares of common stock held by the Reporting Person.
- [F2]Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.
- [F3]Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 116,435 shares of common stock held by the Reporting Person.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.65, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- [F5]Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 94,185 shares of common stock held by the Reporting Person.
- [F6]Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.
Documents
Issuer
HARVARD BIOSCIENCE INC
CIK 0001123494
Entity typeother
Related Parties
1- filerCIK 0001124927
Filing Metadata
- Form type
- 4
- Filed
- Mar 14, 8:00 PM ET
- Accepted
- Mar 15, 9:13 PM ET
- Size
- 13.1 KB