Form Type: 4

SEC EDGAR Link
Accession Number:0000921895-22-001555
Date:2022-05-06
Issuer: HARVARD BIOSCIENCE INC (HBIO)
Original Submission Date:

Reporting Person:

GREEN JAMES W
C/O HARVARD BIOSCIENCE, INC.
84 OCTOBER HILL ROAD HOLLISTON, MA 01746

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-05-06 P 30,000 a $3.78 2,309,955 direct
COMMON STOCK 2022-05-09 P 10,000 a $3.40 2,319,955 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 this transaction was executed in multiple trades at prices ranging from $3.705 to $3.845, inclusive. the price reported above reflects the weighted average purchase 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.
f2 includes (a) 157,037 restricted stock units that will vest in three equal installments on december 29, 2022, 2023 and 2024, (b) 218,140 remaining restricted stock units that will vest on june 11, 2022 and 2023, (c) 129,799 restricted stock units that will vest in two equal installments on december 29, 2022 and 2023, (d) 109,070 remaining restricted stock units that will vest on december 29, 2022 and 2023, (e) 104,590 remaining restricted stock units that will vest on january 1, 2023, (f) 541,218 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,050,101 shares of common stock beneficially owned by the reporting person.
f3 this transaction was executed in multiple trades at prices ranging from $3.375 to $3.41, inclusive. the price reported above reflects the weighted average purchase 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.
f4 includes (a) the shares and awards described in footnote (2) above, and (b) the shares purchased in the transaction described in footnote (3) above.
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