Mark L Baum - 02 Jan 2023 Form 4 Insider Report for HARROW HEALTH, INC. (HROW)

Role: Chief Executive Officer, Director
Signature: /s/ Mark L. Baum
Issuer symbol: HROW
Transactions as of: 02 Jan 2023
Net transactions value: -$519,242
Form type: 4
Filing time: 03 Jan 2023, 20:52:01 UTC
Previous filing: 23 Dec 2022
Next filing: 04 Apr 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HROW	Common Stock	Options Exercise		+88,000	+6.1%		1,520,141	02 Jan 2023	Direct	F1
transaction	HROW	Common Stock	Tax liability	$519,242	-35,179	-2.3%	$14.76	1,484,962	02 Jan 2023	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	HROW	Restricted Stock Unit	Options Exercise	$0	-88,000	-100%	$0.000000^*	0	02 Jan 2023	Common Stock	88,000	$0.000000	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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.

Content

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.