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