DST Capital LLC's Form 4 filing
Harvard Apparatus Regenerative Technology, Inc. (HRGN) · filed Apr 10, 2023
- Accession no.
- 0001493152-23-011747
- Filed
- Apr 10, 2023
- Trade date
- Apr 6, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $375.0K. 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 |
|---|---|
| DST Capital LLCCIK 0001727656 | 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 6, 2023 | Common Stock | PPurchaseAcquired | +62,500 | $6.00F1 | +$375,000 | 3,725,825 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 6, 2023 | Common Stock | JOtherAcquired | +110,000 | $0.00 | $0 | 140,000 | 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 March 31, 2023, the Issuer and the Reporting Person entered into a securities purchase agreement pursuant to which on April 6, 2023 the Reporting Person acquired 62,500 shares of the Issuer's common stock, $0.01 par value (the "Shares") from the Issuer in a private placement. The aggregate subscription amount paid by the Reporting Person for the Shares was $375,000.
Referenced by the price of 1 transaction in Table I.