Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARVARD BIOSCIENCE INCHBIO · Entity 7369 | VP - Commercial Operations | January 01, 2019 | January 03, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HARVARD BIOSCIENCE INC
Report date January 01, 2019 · Filed January 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 242,805 |
Reported balance
After 2019-01-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-01-01 · Tax withholding · Disposed 19,339 · Balance 242,805 F1: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019. F2: Includes (a) a deferred stock award of 16,875 restricted stock units which shall vest in three equal installments on January 1, 2020, 2021 and 2022; (b) a deferred stock award of 54,565 restricted stock units which shall vest in two equal installments on January 1, 2020 and 2021; (c) a deferred stock award of 22,252 restricted stock units which shall vest on January 1, 2020; (d) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 126,613 shares of common stock held by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019.
F2: Includes (a) a deferred stock award of 16,875 restricted stock units which shall vest in three equal installments on January 1, 2020, 2021 and 2022; (b) a deferred stock award of 54,565 restricted stock units which shall vest in two equal installments on January 1, 2020 and 2021; (c) a deferred stock award of 22,252 restricted stock units which shall vest on January 1, 2020; (d) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 126,613 shares of common stock held by the Reporting Person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 01, 2019 Filed Jan 3, 2019 21:10 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 19,339 | $3.18 | $61,498.02 |
DisclosureSEC source: 0001209191-19-000896 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,805 F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019. F2 · balance_after: Includes (a) a deferred stock award of 16,875 restricted stock units which shall vest in three equal installments on January 1, 2020, 2021 and 2022; (b) a deferred stock award of 54,565 restricted stock units which shall vest in two equal installments on January 1, 2020 and 2021; (c) a deferred stock award of 22,252 restricted stock units which shall vest on January 1, 2020; (d) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 126,613 shares of common stock held by the Reporting Person. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 20:23 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Exercise / conversionStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001209191-18-046795 · doc4.xml · derivative · entry 3 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 100,000 shares Expires 2023-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended. F5 · derivative.exercise_date: The option vested in four equal installments on each of November 18, 2014, 2015, 2016 and 2017. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 20:23 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 37,588 | $6.65 | $249,960.20 |
DisclosureSEC source: 0001209191-18-046795 · doc4.xml · nonDerivative · entry 2 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,144 F2 · shares: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and 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 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 86,488 shares of common stock held by the Reporting Person. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 20:23 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Exercise / conversionCommon Stock | 50,000 | $4.31 | $215,500.00 |
DisclosureSEC source: 0001209191-18-046795 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,732 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 124,076 shares of common stock held by the Reporting Person. Read SEC document |
| August 03, 2018 Filed Aug 13, 2018 20:12 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 2,043 | $5.70 | $11,645.10 |
DisclosureSEC source: 0001209191-18-046412 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,732 F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on August 3, 2015. F2 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 74,076 shares of common stock held by the Reporting Person. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 22:57 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Exercise / conversionStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001209191-18-045094 · doc4.xml · derivative · entry 3 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $0.01 per share · 100,000 shares Expires 2023-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · shares: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended. F6 · derivative.exercise_date: The option vested in four equal installments on each of November 18, 2014, 2015, 2016 and 2017. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 22:57 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 41,054 | $5.75 | $236,060.50 |
DisclosureSEC source: 0001209191-18-045094 · doc4.xml · nonDerivative · entry 2 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,804 F3 · shares: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and 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. F4 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (1) and (2) above plus 69,090 shares of common stock held by the Reporting Person. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 22:57 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Exercise / conversionCommon Stock | 50,000 | $4.31 | $215,500.00 |
DisclosureSEC source: 0001209191-18-045094 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,858 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; (continued in footnote 2 below) F2 · balance_after: (continuation of footnote 1 above) (f) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (g) 110,144 shares of common stock held by the Reporting Person. Read SEC document |
| May 24, 2018 Filed May 29, 2018 20:36 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033845 · doc4.xml · nonDerivative · entry 2 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,858 F3 · shares: Represents a deferred stock award of 22,500 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in three equal annual installments on May 24, 2019, May 24, 2020 and May 24, 2021, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from May 24, 2018 to the earlier of (i) May 24, 2019 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported. F4 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (b) all awards and common stock held by Reporting Person as described in footnote 2 above. Read SEC document |
| May 24, 2018 Filed May 29, 2018 20:36 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033845 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,358 F1 · shares: Represents a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022. F2 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 60,144 shares of common stock held by the Reporting Person. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 21:35 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 2,539 | $4.50 | $11,425.50 |
DisclosureSEC source: 0001209191-18-018918 · doc4.xml · nonDerivative · entry 2 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,858 F2 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with unrestricted stock award granted on March 8, 2018. F3 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 60,144 shares of common stock held by the Reporting Person. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 21:35 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 8,888 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-018918 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,397 F1 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 62,683 shares of common stock held by the Reporting Person. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 13:52 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 19,378 | $3.30 | $63,947.40 |
DisclosureSEC source: 0001209191-18-001632 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,509 F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2018. F2 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 53,795 shares of common stock held by the Reporting Person. Read SEC document |
| May 25, 2017 Filed May 31, 2017 00:49 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 109,130 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-036311 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,887 F1 · shares: Represents a deferred stock award of 109,130 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021. F2 · balance_after: Includes (a) a deferred stock award of 109,130 restricted stock units which shall vest in four equal installments on January 1, 2018, 2019, 2020 and 2021; (b) a deferred stock award of 66,755 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (c) a deferred stock award of 8,612 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 19,332 shares of common stock held by the Reporting Person. Read SEC document |
| February 06, 2017 Filed May 31, 2017 00:49 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantStock option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.25 | $0.00 |
DisclosureSEC source: 0001209191-17-036311 · doc4.xml · derivative · entry 2 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock, par value $0.01 per share · 10,000 shares Expires 2027-02-06 F3 · derivative.exercise_date: The options vest in four equal installments on February 6, 2018, 2019, 2020 and 2021. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 21:38 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 9,922 | $3.05 | $30,262.10 |
DisclosureSEC source: 0001209191-17-000977 · doc4.xml · nonDerivative · entry 1 Sun Yong · CIK 0001592266 · VP - Commercial Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,757 F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2017. F2 · balance_after: Includes (a) a deferred stock award of 66,755 restricted stock units which shall vest in three equal installments on January 1, 2018, 2019 and 2020; (b) a deferred stock award of 8,612 restricted stock units which shall vest in two equal installments on January 1, 2018 and 2019; (c) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (d) 19,332 shares of common stock held by the Reporting Person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.