0001209191-16-125070.txt : 20160602 0001209191-16-125070.hdr.sgml : 20160602 20160602161421 ACCESSION NUMBER: 0001209191-16-125070 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160601 FILED AS OF DATE: 20160602 DATE AS OF CHANGE: 20160602 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREEN DAVID CENTRAL INDEX KEY: 0001008643 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33957 FILM NUMBER: 161692622 MAIL ADDRESS: STREET 1: C/O HARVARD BIOSCIENCE INC STREET 2: 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746-1371 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-01 0 0001123494 HARVARD BIOSCIENCE INC HBIO 0001008643 GREEN DAVID 84 OCTOBER HILL ROAD HOLLISTON MA 01746 1 0 0 0 Common Stock 2016-06-01 4 M 0 79059 3.64 A 581284 D Common Stock 2016-06-01 4 F 0 76374 3.83 D 504910 D Common Stock 322124 I David Green 2015-1 Annuity Trust Common Stock 300000 I David Green 2013 Annuity Trust Stock option (right to buy) 3.64 2016-06-01 4 M 0 79059 0.00 D 2016-01-01 2023-05-31 Common Stock, par value $0.01 per share 79059 0 D Includes (a) a deferred stock award of 14,400 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 4, 2015, immediately prior to the commencement of such meeting, and (ii) June 4, 2016; (b) a deferred stock award of 7,725 restricted stock units which vest quarterly in equal installments on June 30, 2016, September 30, 2016 and December 31, 2016; and (c) 559,159 shares of common stock held by the Reporting Person. Represents the number of shares of common stock deemed to be owned by the Reporting Person in accordance with the Issuer's 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and related withholding taxes. With respect to each option exercise, the Issuer only delivered the net amount of the option shares to the Reporting Person. Shares of common stock in connection with the payment of the option exercise price and related withholding taxes were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such net exercise to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934. Includes (a) a deferred stock award of 14,400 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 4, 2015, immediately prior to the commencement of such meeting, and (ii) June 4, 2016; (b) a deferred stock award of 7,725 restricted stock units which vest quarterly in equal installments on June 30, 2016, September 30, 2016 and December 31, 2016; and (c) 482,785 shares of common stock held by the Reporting Person. Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended. This form has been signed under power of attorney. /s/ Chad Porter, by power of attorney 2016-06-02