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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c),
AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b)
(Amendment No. 3 )*
---------
HARVARD BIOSCIENCE, INC.
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, $.01 PAR VALUE PER SHARE
- --------------------------------------------------------------------------------
(Title of Class of Securities)
416906 10 5
---------------------------------------
(CUSIP Number)
DECEMBER 31, 2004
- --------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[_] Rule 13d-1(c)
[X] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
Page 1 of 17
CUSIP No. 416906 10 5 13G Page 2 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Ascent Venture Partners, L.P.
04-3458591
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 0 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 0 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.00%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 17
CUSIP No. 416906 10 5 13G Page 3 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Ascent Venture Management, LLC
04-3458587
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,500 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,500 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.01%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 3 of 17
CUSIP No. 416906 10 5 13G Page 4 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Ascent Venture Partners II, L.P.
04-3263775
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 0 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 0 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.00%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 4 of 17
CUSIP No. 416906 10 5 13G Page 5 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Ascent Venture Management II, L.P.
04-3262868
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 0 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 0 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.00%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 5 of 17
CUSIP No. 416906 10 5 13G Page 6 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Ascent Management SBIC Corp.
04-3262812
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 0 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 0 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.00%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 6 of 17
CUSIP No. 416906 10 5 13G Page 7 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Christopher W. Dick
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 3,500 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,500 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 3,500 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,500 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,000 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.02%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 7 of 17
CUSIP No. 416906 10 5 13G Page 8 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Christopher W. Lynch
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,500 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,500 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.01%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 8 of 17
CUSIP No. 416906 10 5 13G Page 8 of 17 Pages
--------------- --- ----
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Frank M. Polestra
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 5,000 shares
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,500 shares
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 5,000 shares
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,500 shares
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,500 shares
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.02%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 9 of 17
CUSIP No. 416906 10 5 13G Page 10 of 17 Pages
--------------- --- ----
SCHEDULE 13G
Item 1(a). NAME OF ISSUER: Harvard Bioscience, Inc.
Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
84 October Hill Road, Holliston, Massachusetts 01746.
Item 2(a). NAMES OF PERSONS FILING: (1) Ascent Venture Partners, L.P.; (2)
Ascent Venture Management, LLC (the sole general partner of Ascent
Venture Partners, L.P.); (3) Ascent Venture Partners II, L.P.; (4)
Ascent Venture Management II, L.P. (the sole general partner of
Ascent Venture Partners II, L.P.); (5) Ascent Management SBIC Corp.
(the sole general partner of Ascent Venture Management II, L.P.);
and (6) Christopher W. Dick, Christopher W. Lynch and Frank M.
Polestra (the managing members of Ascent Venture Management, LLC,
and the stockholders of Ascent Management SBIC Corporation).
Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The
address of the principal business office of each of Ascent Venture
Partners, L.P.; Ascent Venture Management, LLC; Ascent Venture
Partners II, L.P.; Ascent Venture Management II, L.P.; Ascent
Management SBIC Corp.; Christopher W. Dick; Christopher W. Lynch and
Frank M. Polestra is 255 State Street, 5th Floor, Boston, MA 02109.
Item 2(c). CITIZENSHIP: Each of Ascent Venture Partners, L.P., Ascent Venture
Partners II, L.P., and Ascent Venture Management II, L.P. is a
limited partnership organized under the laws of the State of
Delaware. Ascent Venture Management, LLC is a Delaware limited
liability company. Ascent Management SBIC Corp. is a Massachusetts
S-corporation. Each of Christopher W. Dick, Christopher W. Lynch and
Frank M. Polestra is a United States citizen.
Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value per share
(the "Common Stock").
Item 2(e). CUSIP NUMBER: 416906 10 5
Page 10 of 17
CUSIP No. 416906 10 5 13G Page 11 of 17 Pages
--------------- --- ----
Item 4. OWNERSHIP.
(a) Amount Beneficially Owned:
As of December 31, 2004, Ascent Venture Partners, L.P. was the
record holder of 0 shares of Common Stock; Ascent Venture
Partners II, L.P. was the record holder of 0 shares of Common
Stock; Ascent Venture Management, LLC was the record holder of
2,500 shares of Common Stock (the "AVM Shares"); Christopher W.
Dick was the record holder of 3,500 shares of Common Stock (the
"C.W. Dick Shares"); and Frank M. Polestra was the record holder
of 5,000 shares of Common Stock (the "Polestra Shares").
As a managing member of Ascent Venture Management, LLC,
Christopher W. Dick may be deemed to beneficially own the AVM
Shares and the C.W. Dick Shares, for an aggregate of 6,000
shares.
As a managing member of Ascent Venture Management, LLC,
Christopher W. Lynch may be deemed to beneficially own the AVM
Shares.
As a managing member of Ascent Venture Management, LLC, Frank M.
Polestra may be deemed to beneficially own the AVM Shares and
the Polestra Shares, for an aggregate of 7,500 shares.
Each of the reporting persons expressly disclaims beneficial
ownership, except to the extent of his or its pecuniary interest
therein, if any, and except in the case of the shares that such
reporting person owns beneficially as set forth above, of any
shares of Common Stock of Harvard Bioscience, Inc.
(b) Percent of Class:
Ascent Venture Partners, L.P. 0.00%
Ascent Venture Management, LLC 0.01%
Ascent Venture Partners II, L.P. 0.00%
Ascent Venture Management II, L.P. 0.00%
Ascent Management SBIC Corp. 0.00%
Christopher W. Dick 0.02%
Christopher W. Lynch 0.01%
Frank M. Polestra 0.02%
The foregoing percentages are calculated based on the 30,347,426
shares of Common Stock of Harvard Bioscience outstanding as of
November 1, 2004 as reported in the Issuer's Form 10-Q filed
with the SEC on November 9, 2004.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
Page 11 of 17
CUSIP No. 416906 10 5 13G Page 12 of 17 Pages
--------------- --- ----
Christopher W. Dick 3,500
Frank M. Polestra 5,000
0 shares for each other reporting person
(ii) shared power to vote or to direct the vote:
Ascent Venture Management, LLC 2,500
Christopher W. Dick 2,500
Frank M. Polestra 2,500
0 shares for each other reporting person
(iii)sole power to dispose or direct the disposition of:
Christopher W. Dick 3,500
Frank M. Polestra 5,000
0 shares for each other reporting person
(iv) shared power to dispose or direct the disposition of:
Ascent Venture Management, LLC 2,500
Christopher W. Dick 2,500
Frank M. Polestra 2,500
0 shares for each other reporting person
Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of the
date hereof each of the reporting persons has ceased to be the
beneficial owner of more than five percent of the class of
securities, check the following [X]
ALL OTHER ITEMS REPORTED ON THE SCHEDULE 13G (AMENDMENT NO. 2) DATED AS OF
FEBRUARY 11, 2003 AND FILED ON BEHALF OF THE REPORTING PERSONS WITH RESPECT TO
THE COMMON STOCK OF HARVARD BIOSCIENCE, INC. REMAIN UNCHANGED.
Page 12 of 17
CUSIP No. 416906 10 5 13G Page 13 of 17 Pages
--------------- --- ----
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each
of the undersigned certifies that the information set forth in this statement is
true, complete and correct. We also hereby agree to file this statement jointly
pursuant to the Agreement listed on EXHIBIT 1 hereto.
Date: February 9, 2005
ASCENT VENTURE PARTNERS, L.P.
By: Ascent Venture Management, LLC
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Managing Member
ASCENT VENTURE MANAGEMENT, LLC
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Managing Member
ASCENT VENTURE PARTNERS II, L.P.
By: Ascent Venture Management II, L.P.
By: Ascent Management SBIC Corp.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
ASCENT VENTURE MANAGEMENT II, L.P.
By: Ascent Management SBIC Corp.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
ASCENT MANAGEMENT SBIC CORP.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
Page 13 of 17
CUSIP No. 416906 10 5 13G Page 14 of 17 Pages
--------------- --- ----
/s/ Christopher W. Dick
- ---------------------------------------
Christopher W. Dick
/s/ Christopher W. Lynch
- -------------------------------------------------
Christopher W. Lynch
/s/ Frank M. Polestra
- ---------------------------------------
Frank M. Polestra
Page 14 of 17
CUSIP No. 416906 10 5 13G Page 15 of 17 Pages
--------------- --- ----
Exhibit Index
EXHIBIT NO. DESCRIPTION PAGE NO.
----------- ----------- --------
1 Agreement of Joint Filing 16
Page 15 of 17
CUSIP No. 416906 10 5 13G Page 16 of 17 Pages
--------------- --- ----
EXHIBIT 1
AGREEMENT OF JOINT FILING
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the
undersigned hereby agree that only one statement containing the information
required by Schedule 13G need be filed with respect to the ownership by each of
the undersigned of shares of Common Stock of Harvard Bioscience, Inc.
EXECUTED this 9th day of February, 2005.
ASCENT VENTURE PARTNERS, L.P.
By: Ascent Venture Management, LLC
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Managing Member
ASCENT VENTURE MANAGEMENT, LLC
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Managing Member
ASCENT VENTURE PARTNERS II, L.P.
By: Ascent Venture Management II, L.P.
By: Ascent Management SBIC Corp.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
ASCENT VENTURE MANAGEMENT II, L.P.
By: Ascent Management SBIC Corp.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
ASCENT MANAGEMENT SBIC CORP.
By: /s/ Christopher W. Dick
------------------------------------
Christopher W. Dick, Vice President
Page 16 of 17
CUSIP No. 416906 10 5 13G Page 17 of 17 Pages
--------------- --- ----
/s/ Christopher W. Dick
- ---------------------------------------
Christopher W. Dick
/s/ Christopher W. Lynch
- --------------------------------------------
Christopher W. Lynch
/s/ Frank M. Polestra
- ---------------------------------------
Frank M. Polestra
Page 17 of 17