SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
LUSCINSKI SUSAN M

(Last) (First) (Middle)
84 OCTOBER HILL ROAD

(Street)
HOLLISTON MA 01746

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
HARVARD BIOSCIENCE INC [ HBIO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operating Officer
3. Date of Earliest Transaction (Month/Day/Year)
10/18/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
10/22/2013
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/18/2013 M 47,247 A $3.18 492,764(1) D
Common Stock 10/18/2013 F 36,265(2) D $5.5 456,499(1) D
Common Stock 10/18/2013 M 100,000 A $1.99 556,499(1) D
Common Stock 10/18/2013 F 65,960(2) D $5.5 490,539(1) D
Common Stock 10/18/2013 M 38,025 A $4.28 528,564(1) D
Common Stock 10/18/2013 F 33,377(2) D $5.5 495,187(1) D
Common Stock 10/18/2013 M 12,500 A $2.98 507,687(1) D
Common Stock 10/18/2013 F 9,343(2) D $5.5 498,344(1) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock option (right to buy) $3.18 10/18/2013 M 47,247(3) 01/01/2013 05/21/2019 Common Stock, par value $0.01 per share 47,247 $0 152,753 D
Stock option (right to buy) $1.99 10/18/2013 M 100,000(3) 01/01/2012 12/04/2018 Common Stock, par value $0.01 per share 100,000 $0 0 D
Stock option (right to buy) $4.28 10/18/2013 M 38,025(3) 01/01/2010 08/09/2016 Common Stock, par value $0.01 per share 38,025 $0 61,975 D
Stock option (right to buy) $2.98 10/18/2013 M 12,500 01/01/2009 05/25/2015 Common Stock, par value $0.01 per share 12,500 $0 37,500 D
Explanation of Responses:
1. Includes (a) a deferred stock award of 16,700 restricted stock units which will vest on Jan 1, 2014; (b) a deferred stock award of 9,374 restricted stock units which vest in equal installments on Jan 1, 2014 and Jan 1, 2015; (c) a deferred stock award of 30,954 restricted stock units which vest in equal installments on Jan 1, 2014, Jan 1, 2015, and Jan 1, 2016; (d) and a deferred stock award of 19,337 restricted stock units which vest in equal installments on Jan 1, 2014, Jan 1, 2015, Jan 1, 2016, and Jan 1, 2017; and (e) 369,152 shares of common stock held by Ms. Luscinski.
2. 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.
3. Represents exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.
Remarks:
This Amendment to Form 4 does not reflect any additional transactions and is merely being filed to correct certain inadvertent typographical errors in the original Form 4 filing made on October 22, 2013. This Amendment to Form 4 is signed under power of attorney.
Susan Luscinski 10/23/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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