0000921895-23-000668.txt : 20230308 0000921895-23-000668.hdr.sgml : 20230308 20230308170241 ACCESSION NUMBER: 0000921895-23-000668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230308 DATE AS OF CHANGE: 20230308 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: 23716881 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 form412799gre_03082023.xml OWNERSHIP DOCUMENT X0306 4 2023-03-06 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 2023-03-06 4 A 0 353140 0.00 A 2506442 D Common Stock 2023-03-06 4 A 0 339610 0.00 A 2846052 D Represents an award of 353,140 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. Includes (a) the award described in footnote (1) above, (b) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (c) 109,071 restricted stock units that will vest on June 11, 2023, (d) 64,899 restricted stock units that will vest on December 29, 2023, (e) 54,535 restricted stock units that will vest on December 29, 2023, (f) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,488,067 shares of common stock beneficially owned by the Reporting Person. Represents an award of 339,610 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2023 to the earlier of (i) December 31, 2025, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported. Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above. /s/ David Sirois, by power of attorney 2023-03-08