Green David's Form 4 filing
Harvard Apparatus Regenerative Technology, Inc. (HRGN) · filed Nov 30, 2021
- Accession no.
- 0001104659-21-145061
- Filed
- Nov 30, 2021
- Trade date
- Nov 26, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 2 derivative transactions. Open-market purchases total $250.0K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Green DavidCIK 0001008643 | Director, Officer (Interim CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 26, 2021 | Common Stock | PPurchaseAcquired | +72,464 | $3.45F1 | +$250,000.8 | 95,516 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 26, 2021 | Common Stock, par value $0.01 per share | PPurchaseAcquired | +36,232 | –F1 | – | 36,232 | Direct | |
| Nov 26, 2021 | Common Stock, par value $0.01 per share | AGrant or awardAcquired | +374,094 | $0.00 | $0 | 374,094 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On November 26, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 72,464 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) a warrant to purchase up to 36,232 shares of common stock with an exercise price of $2.00 per share (the "Warrant"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrant acquired by it pursuant to the Purchase Agreement was $250,000.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
Remarks
This form has been signed under power of attorney.