Green David's Form 4 filing
Harvard Apparatus Regenerative Technology, Inc. (HRGN) · filed May 23, 2022
- Accession no.
- 0001104659-22-063797
- Filed
- May 23, 2022
- Trade date
- May 12, 2022
- Filing delay
- 11 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $375.0K. It was filed 11 days after the trade, past the 2-business-day deadline.
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 |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Common Stock | PPurchaseAcquired | +63,345 | $5.92F1 | +$375,002.4 | 158,861 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Common Stock | PPurchaseAcquired | +31,673 | –F1 | – | 31,673 | 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 May 12, 2022, the Issuer and the Reporting Person entered into 2 securities purchase agreements (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 63,345 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 31,673 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreements was $375,000.
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.