0001415889-22-012348.txt : 20221209 0001415889-22-012348.hdr.sgml : 20221209 20221209172107 ACCESSION NUMBER: 0001415889-22-012348 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221207 FILED AS OF DATE: 20221209 DATE AS OF CHANGE: 20221209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yu Hong CENTRAL INDEX KEY: 0001743047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35853 FILM NUMBER: 221455666 MAIL ADDRESS: STREET 1: C/O BIOSTAGE, INC. 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746 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 form4-12092022_101241.xml X0306 4 2022-12-07 0001563665 Biostage, Inc. BSTG 0001743047 Yu Hong C/O BIOSTAGE, INC. 84 OCTOBER HILL ROAD, SUITE 11 HOLLISTON MA 01746 false true false false PRESIDENT Common Stock 2022-12-07 4 X 0 300000 2 A 306135 I The spouse of the reporting person Common Stock 2022-12-07 4 S 0 83676 7.17 D 222459 I The spouse of the reporting person Common Stock 44520 D Warrants (right to buy) 2 2022-12-07 4 X 0 300000 0 D 2017-12-27 2022-12-27 Common Stock 300000 0 I The spouse of the reporting person On December 7, 2022, the Spouse of the Reporting Person exercised a warrant to purchase 300,000 shares of common stock for $2 per share. The Spouse of the Reporting Person paid the exercise price on a cashless basis, resulting in Biostage's withholding of 83,676 shares to pay the exercise price based on the daily VWAP of $7.1706, and issuing the remaining 216,324 shares of common stock. /s/ Chad Porter, Attorney-in-Fact 2022-12-09