Form 4 for HROW HARROW, INC.
Accepted 2022-01-21 00:00:00 ET · period of report 2022-01-20 · accession 0001493152-22-002006 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-01-21 | 2022-01-20 | HROW | BAUM MARK L | CEO, Dir | M - OptEx | $2.40 | +125.0K | 1.48M | +9% | +$300.0K |
| D | 2022-01-21 | 2022-01-20 | HROW | BAUM MARK L | CEO, Dir | F - Tax | $8.33 | -71.4K | 1.41M | -5% | -$594.8K |
| D | 2022-01-21 | 2022-01-20 | HROW | BAUM MARK L | CEO, Dir | M - OptEx | $0.00 | -125.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-01-20 | M | A | 125,000 | $2.40 | 1,478,547 | D | — | — | (F1) Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes. |
| 2 | Common | Common Stock | 2022-01-20 | F | D | 71,406 | $8.33 | 1,407,141 | D | — | — | (F1) Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes. |
| 3 | Derivative | Stock Option (Right to buy) | 2022-01-20 | M | D | 125,000 | $0.00 | 0 | D | $2.40 · — to 2022-01-25 | 125,000 Common Stock | (F1) Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes. |