0001493152-23-010886.txt : 20230404 0001493152-23-010886.hdr.sgml : 20230404 20230404195412 ACCESSION NUMBER: 0001493152-23-010886 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230403 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAUM MARK L CENTRAL INDEX KEY: 0001274282 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35814 FILM NUMBER: 23800634 MAIL ADDRESS: STREET 1: C/O IMPRIMIS PHARMACEUTICALS, INC STREET 2: 12264 EL CAMINO REAL, SUITE 350 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARROW HEALTH, INC. CENTRAL INDEX KEY: 0001360214 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 450567010 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 102 WOODMONT BLVD STREET 2: SUITE 610 CITY: NASHVILLE STATE: TN ZIP: 37215 BUSINESS PHONE: 615.733.4731 MAIL ADDRESS: STREET 1: 102 WOODMONT BLVD STREET 2: SUITE 610 CITY: NASHVILLE STATE: TN ZIP: 37215 FORMER COMPANY: FORMER CONFORMED NAME: Imprimis Pharmaceuticals, Inc. DATE OF NAME CHANGE: 20120301 FORMER COMPANY: FORMER CONFORMED NAME: TRANSDEL PHARMACEUTICALS INC DATE OF NAME CHANGE: 20070912 FORMER COMPANY: FORMER CONFORMED NAME: Bywater Resources, Inc DATE OF NAME CHANGE: 20060421 4 1 ownership.xml X0407 4 2023-04-03 0 0001360214 HARROW HEALTH, INC. HROW 0001274282 BAUM MARK L C/O HARROW HEALTH, INC. 102 WOODMONT BLVD, SUITE 610 NASHVILLE TN 37205 1 1 0 0 Chief Executive Officer 0 Common Stock 2023-04-03 4 M 0 180000 8.99 A 1664962 D Common Stock 2023-04-03 4 F 0 117633 20.97 D 1547329 D Stock Option (Right to Buy) 8.99 2023-04-03 4 M 0 180000 0 D 2023-05-02 Common Stock 180000 0 D Restricted Stock Unit 2023-04-03 4 A 0 762300 0 A 2028-04-03 Common Stock 762300 762300 D Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions. The stock option was granted on May 2, 2013 under the Issuers 2007 Stock Incentive and Awards Plan and the shares subject to the stock option became exercisable over a 3 year period, according to a quarterly vesting schedule following its grant date. The stock option had an expiration date of May 2, 2023. Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 108,900 PSU shares), $35 (causing the vesting of 163,350 PSU shares), $45 (causing the vesting of 217,800 PSU shares), $50 (causing the vesting of 272,250 PSU shares). /s/ Mark L. Baum 2023-04-04