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HARVARD BIOSCIENCE INC — Director's Dealing 2013
Jul 31, 2013
34975_dirs_2013-07-31_a705da37-b8f0-4612-9c3c-ae7bb15ad95b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HARVARD BIOSCIENCE INC (HBIO)
CIK: 0001123494
Period of Report: 2013-07-25
Reporting Person: GRAZIANO CHANE (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-25 | Common Stock | M | 400000 | $3.18 | Acquired | 2906865 | Direct |
| 2013-07-25 | Common Stock | F | 230434 | $5.52 | Disposed | 2676431 | Direct |
| 2013-07-25 | Common Stock | M | 300000 | $1.99 | Acquired | 2976431 | Direct |
| 2013-07-25 | Common Stock | F | 108152 | $5.52 | Disposed | 2868279 | Direct |
| 2013-07-25 | Common Stock | M | 125000 | $4.01 | Acquired | 2993279 | Direct |
| 2013-07-25 | Common Stock | F | 90806 | $5.52 | Disposed | 2902473 | Direct |
| 2013-07-25 | Common Stock | M | 300000 | $4.28 | Acquired | 3202473 | Direct |
| 2013-07-25 | Common Stock | F | 232608 | $5.52 | Disposed | 2969865 | Direct |
| 2013-07-25 | Common Stock | M | 125000 | $2.98 | Acquired | 3094865 | Direct |
| 2013-07-25 | Common Stock | F | 67481 | $5.52 | Disposed | 3027384 | Direct |
| 2013-07-25 | Common Stock | M | 50289 | $3.57 | Disposed | 3077673 | Direct |
| 2013-07-25 | Common Stock | F | 32523 | $5.52 | Disposed | 3045150 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-25 | Stock Option (right to buy) | $4.01 | M | 125000 | Disposed | 2013-08-12 | Common Stock (125000) | Direct |
| 2013-07-25 | Stock Option (right to buy) | $3.18 | M | 400000 | Disposed | 2013-08-12 | Common Stock (400000) | Direct |
| 2013-07-25 | Stock Option (right to buy) | $1.99 | M | 300000 | Disposed | 2013-08-12 | Common Stock (300000) | Direct |
| 2013-07-25 | Stock Option (right to buy) | $4.28 | M | 300000 | Disposed | 2013-08-12 | Common Stock (300000) | Direct |
| 2013-07-25 | Stock Option (right to buy) | $2.98 | M | 125000 | Disposed | 2013-08-12 | Common Stock (125000) | Direct |
| 2013-07-25 | Stock Option (right to buy) | $3.57 | M | 50289 | Disposed | 2013-08-12 | Common Stock (50289) | Direct |
Footnotes
F1: 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. With respect to each option exercise, the Issuer delivered the net amount of the option shares 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."
F2: Represents exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.