0001144204-17-015099.txt : 20170316 0001144204-17-015099.hdr.sgml : 20170316 20170316161912 ACCESSION NUMBER: 0001144204-17-015099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170314 FILED AS OF DATE: 20170316 DATE AS OF CHANGE: 20170316 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Biostage, Inc. CENTRAL INDEX KEY: 0001563665 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 455210462 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 84 OCTOBER HILL ROAD STREET 2: SUITE 11 CITY: HOLLISTON STATE: MA ZIP: 01746 BUSINESS PHONE: (774) 233-7300 MAIL ADDRESS: STREET 1: 84 OCTOBER HILL ROAD STREET 2: SUITE 11 CITY: HOLLISTON STATE: MA ZIP: 01746 FORMER COMPANY: FORMER CONFORMED NAME: Harvard Apparatus Regenerative Technology, Inc. DATE OF NAME CHANGE: 20121204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McNaughton Thomas CENTRAL INDEX KEY: 0001449450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35853 FILM NUMBER: 17694809 MAIL ADDRESS: STREET 1: 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746 4 1 v461957_4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-14 0 0001563665 Biostage, Inc. BSTG 0001449450 McNaughton Thomas C/O BIOSTAGE, INC. 84 OCTOBER HILL ROAD, SUITE 11 HOLLISTON MA 01746 0 1 0 0 Chief Financial Officer Stock Option (right to buy) 0.38 2017-03-14 4 A 0 150750 0 A 2027-03-14 Common Stock, par value $0.01 per share 150750 150750 D Restricted Stock Units 2017-03-14 4 A 0 74250 0 A Common Stock, par value $0.01 per share 74250 74250 D The option shares vest in four equal installments on March 14, 2018, 2019, 2020 and 2021. Restricted stock units granted by the Issuer pursuant to its 2013 Equity Incentive Plan and qualified under Rule 16b-3(d). Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer. The restricted stock units vest and settle in four equal installments on March 14, 2018, 2019, 2020 and 2021. This form has been signed under power of attorney. /s/ Chad Porter, by power of attorney 2017-03-16