HARVARD BIOSCIENCE INC — Director's Dealing 2013

Oct 23, 2013

SEC Form 4/A — Form 4/A

Issuer: HARVARD BIOSCIENCE INC (HBIO)
CIK: 0001123494
Period of Report: 2013-10-18

Reporting Person: GREEN DAVID (Director, President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-10-18	Common Stock	M	125000	$2.98	Acquired	1483507	Direct
2013-10-18	Common Stock	F	88023	$5.50	Disposed	1395484	Direct
2013-10-18	Common Stock	M	200000	$4.28	Acquired	1595484	Direct
2013-10-18	Common Stock	F	173980	$5.50	Disposed	1421504	Direct
2013-10-18	Common Stock	M	125000	$1.99	Acquired	1546504	Direct
2013-10-18	Common Stock	F	67842	$5.50	Disposed	1478662	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-10-18	Stock option (right to buy)	$2.98	M	125000	Disposed	2015-05-25	Common Stock, par value $0.01 per share (125000)	Direct
2013-10-18	Stock option (right to buy)	$4.28	M	200000	Disposed	2016-08-09	Common Stock, par value $0.01 per share (200000)	Direct
2013-10-18	Stock option (right to buy)	$1.99	M	125000	Disposed	2018-12-04	Common Stock, par value $0.01 per share (125000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	300000	Indirect
Common Stock	300000	Indirect
Common Stock	300000	Indirect
Common Stock	300000	Indirect
Common Stock	300000	Indirect
Common Stock	300000	Indirect

Footnotes

F1: Includes (a) a deferred stock award of 33,400 restricted stock units which vest on Jan 1, 2014; (b) a deferred stock award of 26,874 restricted stock units which vest in equal installments on Jan 1, 2014 and Jan 1, 2015; (c) a deferred stock award of 66,552 restricted stock units which vest in equal installments on Jan 1, 2014, Jan 1, 2015, and Jan 1, 2016; (d) a deferred stock award of 41,574 stock units which vest in equal installments on Jan 1, 2014, Jan 1, 2015, Jan 1, 2016, and Jan 1, 2017; and (e) 1,490,107 shares of common stock held by Mr. Green.

F2: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and related withholding taxes. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.

F3: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.