0001104659-20-078204.txt : 20200629 0001104659-20-078204.hdr.sgml : 20200629 20200629195218 ACCESSION NUMBER: 0001104659-20-078204 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200625 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shmerling James E. CENTRAL INDEX KEY: 0001505051 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35853 FILM NUMBER: 20999266 MAIL ADDRESS: STREET 1: 975 JOHNSON FERRY ROAD STREET 2: SUITE 450 CITY: ATLANTA STATE: GA ZIP: 30342 FORMER NAME: FORMER CONFORMED NAME: Schmerling James E. DATE OF NAME CHANGE: 20101104 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 4 1 tm2023734-2_4.xml OWNERSHIP DOCUMENT X0306 4 2020-06-25 0 0001563665 Biostage, Inc. BSTG 0001505051 Shmerling James E. C/O BIOSTAGE, INC. 84 OCTOBER HILL ROAD, SUITE 11 HOLLISTON MA 01746 1 0 0 0 Stock Option (right to buy) 2.52 2020-06-25 4 A 0 11938 0 A 2030-06-25 Common Stock, par value $0.01 per share 11938 11938 D Stock Option (right to buy) 2.52 2020-06-25 4 A 0 9579 0 A 2030-06-25 Common Stock, par value $0.01 per share 9579 21517 D This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021. This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020. This form has been signed under power of attorney. /s/ Chad Porter, by power of attorney 2020-06-29