SEC Form 3 filed by new insider Snider William
$HBIO
Biotechnology: Laboratory Analytical Instruments
Industrials
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/17/2025 |
3. Issuer Name and Ticker or Trading Symbol
HARVARD BIOSCIENCE INC [ HBIO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Warrant (right to buy) | (3) | 12/17/2032 | Common Stock | 150,000 | $0.5 | I | As manager(1) |
| Warrant (right to buy) | (3) | 12/17/2032 | Common Stock | 600,000 | $0.5 | I | As manager(2) |
| Explanation of Responses: |
| 1. Held by BroadOak Fund VI, L.P. The reporting person is the Manager of BroadOak Fund VI, L.P. The reporting person disclaims beneficial ownership of the securities held by BroadOak Fund VI, L.P except to the extent of his pecuniary interest therein, if any. |
| 2. Held by BroadOak Income Fund, L.P. The reporting person is the Manager of BroadOak Income Fund, L.P. The reporting person disclaims beneficial ownership of the securities held by BroadOak Income Fund, L.P except to the extent of his pecuniary interest therein, if any. |
| 3. The Warrants are exercisable immediately. Notwithstanding the foregoing, the Reporting Person shall not be entitled to exercise the Warrants to the extent that such exercise would cause the aggregate number of shares of common stock of the Issuer, $0.01 par value per share (the "Common Stock"), beneficially owned by the Reporting Person to exceed 19.99% of the total number of outstanding shares of Common Stock following such exercise. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ William Snider | 12/30/2025 | |
| ** 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 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||