What changed in this filing

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Item 5. Market for Registrant’s Common Equity

2024-03-28 compared with 2023-03-30 · 17 added, 11 removed, 10 unchanged (74% of the section changed)

Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity

common stock was initially quoted on the OTCQB Venture Marketplace at the opening of business on October 6, 2017 under the symbol “BSTG.”

Prior to that time, our common stock traded on the NASDAQ Capital Market also under the symbol “BSTG.” From our initial listing

on October 21, 2013 until April 1, 2016, in connection with our name change, our common stock traded on the NASDAQ Capital Market under

the symbol “HART.”

Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities.

Company filed an amendment (the “Certificate of Amendment”) to its Amended and Restated Certificate of Incorporation (the

“Certificate of Incorporation”) with the Secretary of State for the State of Delaware to change its name from Biostage, Inc.

to Harvard Apparatus Regenerative Technology, Inc.

The Company also amended and restated its Amended and Restated Bylaws, solely to reflect

the name change (as amended, the “Third Amended and Restated Bylaws”).

The Certificate of Amendment and the Third Amended

and Restated Bylaws each became effective on July 20, 2023.

connection with the name change, the Company traded on the OTCQB under the new ticker symbol “HRGN”.

The new ticker symbol

was effective at the open of the market on July 20, 2023.

Prior to that time, our common stock traded on the OTCQB under the symbol “BSTG.”

were 140 holders of record of our common stock as of March 18, 2024, which does not include persons or entities that hold their stock

7 unchanged sentences

Sales of Unregistered Securities

During the fiscal year ended December 31, 2022, all

of our unregistered sales were previously disclosed in our Quarterly Reports on Form 10-Q or in Current Reports on Form 8-K in relation

to the applicable periods, other than during the fourth quarter of 2022, we issued 558,825 shares of common stock in connection with cashless

exercises of 775,000 warrants that were issued in December 2017, which such issuances were done without registration under the Securities

Act in reliance on the exemptions provided by Section 4(a)(2) of the Securities Act as transactions not involving a public offering

and Rule 506 promulgated under the Securities Act as sales to an accredited investor, and in reliance on similar exemptions under applicable

the fiscal year ended December 31, 2023, all of our unregistered sales were previously disclosed in our Quarterly Reports on Form 10-Q

or in Current Reports on Form 8-K in relation to the applicable periods, which such issuances were done without registration under the

Securities Act in reliance on the exemptions provided by Section 4(a)(2) of the Securities Act as transactions not involving a public

offering and Rule 506 promulgated under the Securities Act as sales to an accredited investor, and in reliance on similar exemptions

under applicable state laws.

Selected Financial Data.

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 5. Market for Registrant’s Common Equity