Form 4 for HROW HARROW, INC.
Accepted 2023-01-03 00:00:00 ET · period of report 2023-01-02 · accession 0001493152-23-000190 · 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 | 2023-01-03 | 2023-01-02 | HROW | BAUM MARK L | CEO, Dir | F - Tax | $14.76 | -35.2K | 1.48M | -2% | -$519.2K |
| D | 2023-01-03 | 2023-01-02 | HROW | BAUM MARK L | CEO, Dir | M - OptEx | — | +88.0K | 1.52M | +6% | — |
| D | 2023-01-03 | 2023-01-02 | HROW | BAUM MARK L | CEO, Dir | M - OptEx | $0.00 | -88.0K | 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 | 2023-01-02 | F | D | 35,179 | $14.76 | 1,484,962 | D | — | — | (F1) The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only. |
| 2 | Common | Common Stock | 2023-01-02 | M | A | 88,000 | — | 1,520,141 | D | — | — | (F1) The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only. |
| 3 | Derivative | Restricted Stock Unit | 2023-01-02 | M | D | 88,000 | $0.00 | 0 | D | $0.00 · — to — | 88,000 Common Stock | (F1) The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only. |