UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 05/01/2024 | Common Stock | 100,000 | $ 8.66 | D | Â |
Stock Option (right to buy) | Â (2) | 03/04/2025 | Common Stock | 100,000 | $ 4.08 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
La Francesca Saverio C/O HARVARD APPARATUS REGENERATIVE TECH. 84 OCTOBER HILL ROAD, SUITE 11 HOLLISTON, MA 01746 |
 |  |  Chief Medical Officer |  |
/s/ Chad Porter by power of attorney | 07/07/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The option became exercisable as to 25,000 of the shares underlying the option on May 1, 2015 with the remaining shares underlying the option vesting in three equal installments on May 1, 2016, 2017 and 2018. |
(2) | The shares underlying the option vest in four equal installments on March 4, 2016, 2017, 2018 and 2019. |
 Remarks: This amendment to the Initial Statement of Beneficial Ownership of Securities on Form 3, filed with the Securities and Exchange Commission on May 13, 2015, is being filed to include Exhibit 24. Exhibit List: Exhibit 24 - Limited Power of Attorney |