------------------------------
OMB APPROVAL
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OMB Number 3235-0287
Expires: September 30, 1998
Estimated average burden
hours per response ....... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject of Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
3. IRS or Social Security Number of Reporting Person (Voluntary)
================================================================================
4. Statement for Month/Year
================================================================================
5. If Amendment, Date of Original (Month/Year)
================================================================================
6. Relationship of Reporting Person to Issuer
(Check all applicable)
[ X*] Director [ X ] 10% Owner
[ X*] Officer (give title below) [ ] Other (specify below)
CEO/CFO/Secretary
---------------------------
* See explanation
================================================================================
7. Individual or Joint/Group Filing (Check applicable line)
[X ] Form filed by one Reporting Person
[ ] Form filed by more than one Reporting Person
================================================================================
Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 7/2/96 S 400 D $34.40 654,271 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 8/21/96 S 250 D $16.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 8/22/96 S 350 D $27.90 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 8/29/96 S 500 D $20.60 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 8/30/96 S 500 D $26.60 652,671 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/4/96 S 500 D $27.80 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/18/96 S 20,000 D $10.00
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/18/96 S 300 D $23.30 631,871
- ------------------------------------------------------------------------------------------------------------------------------------
(continued on continuation pages)
- ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 (7-96)
Page 1 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
====================================================================================================================================
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
of Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
====================================================================================================================================
</TABLE>
Explanation of Responses:
TITLE OF OFFICER: Mr. Steffens was an officer and director of the corporation
for periods covering a significant portion of the transactions reported
hereunder, but ceased to be an officer or director of the issuer in fall 1997.
For reasons described below, Mr. Steffens may continue to be deemed a 10%
beneficial owner of the issuer's stock.
NOTE A: Represents transactions in shares held by Bio-Sphere Technology, Inc.
("BTI"), a corporation in which Mr. Steffens is an officer, director and a
shareholder. Mr. Steffens disclaims beneficial ownership in all shares held by
BST other than to the extent of his pecuniary interest therein. Mr. Steffens is
no longer an officer or director of the issuer, but continues to be so of BTI.
All share figures in this form reflect a 1 for 10 share reverse stock split
effected by the issuer 2/2/98.
** Intentional misstatements or omissions of facts constitute Federal Crime
Violations. SEE and 15 U.S.C. 78ff(a).
/s/ Don.R. Steffens 4/17/98
------------------------- ---------------
**Signature of Reporting Person Date
Note:File three copies of this Form, one of which must be manually signed. If
space is insufficient, SEE Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
SEC 1474 (7-96)
Page 2 of 20
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 12/20/96 S 220 D $23.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/23/96 S 800 D $21.40 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/24/96 S 500 D $23.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/27/96 S 500 D $24.90 629,851 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/8/97 S 1,000 D $29.40 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/20/97 S 150 D $32.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/21/97 S 150 D $35.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/22/97 S 150 D $40.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/23/97 S 150 D $41.56 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/24/97 S 150 D $39.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/27/97 S 150 D $40.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/28/97 S 150 D $45.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/29/97 S 150 D $45.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/31/97 S 150 D $45.00 627,351 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 3 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 1/31/97 S 150 D $46.88 627,351 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/3/97 S 150 D $63.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/4/97 S 150 D $83.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/4/97 S 150 D $83.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/5/97 S 150 D $72.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/5/97 S 300 D $81.90 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/6/97 S 150 D $58.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/7/97 S 150 D $73.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/10/97 S 150 D $75.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/11/97 S 150 D $73.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/11/97 S 150 D $71.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/12/97 S 150 D $71.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/13/97 S 150 D $73.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/14/97 S 150 D $73.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 4 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 2/18/97 S 150 D $72.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/18/97 S 400 D $70.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/19/97 S 150 D $73.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/20/97 S 150 D $75.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/20/97 S 200 D $71.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/21/97 S 150 D $87.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/21/97 S 150 D $87.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/24/97 S 150 D $80.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/24/97 S 150 D $76.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/25/97 S 150 D $72.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/26/97 S 150 D $71.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/27/97 S 150 D $70.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 2/28/97 S 150 D $65.00 623,001 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/3/97 S 150 D $84.40 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 5 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 3/3/97 S 200 D $62.90 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/4/97 S 200 D $71.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/4/97 S 200 D $78.85 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/5/97 S 150 D $95.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/5/97 S 200 D $76.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/6/97 S 150 D $70.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/6/97 S 200 D $73.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/7/97 S 150 D $67.70 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/7/97 S 200 D $72.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/10/97 S 150 D $65.30 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/10/97 S 200 D $68.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/11/97 S 200 D $69.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/12/97 S 150 D $64.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/12/97 S 200 D $67.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 6 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 3/13/97 S 200 D $65.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/14/97 S 200 D $61.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/17/97 S 200 D $63.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/18/97 S 200 D $66.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/18/97 A 25,000 A par value D
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/19/97 S 200 D $66.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/20/97 S 200 D $66.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/24/97 S 200 D $63.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/24/97 S 200 D $64.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/25/97 S 200 D $66.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/26/97 S 200 D $68.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/26/97 S 200 D $68.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/27/97 S 200 D $66.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 3/31/97 S 200 D $64.38 642,701 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 7 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 4/1/97 S 200 D $58.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/2/97 S 200 D $47.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/3/97 S 200 D $47.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/4/97 S 200 D $45.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/7/97 S 200 D $47.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/8/97 S 200 D $45.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/9/97 S 200 D $43.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/11/97 S 200 D $45.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/14/97 S 200 D $49.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/15/97 S 200 D $51.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/16/97 S 200 D $50.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 4/18/97 S 251 D $42.50 640,250 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 5/23/97 S 150 D $22.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 5/27/97 S 150 D $20.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 8 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 5/28/97 S 150 D $20.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 5/29/97 S 150 D $19.38 639,500 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 5/30/97 S 150 D $18.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/2/97 S 150 D $18.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/3/97 S 150 D $18.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/4/97 S 150 D $20.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/5/97 S 150 D $20.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/6/97 S 150 D $21.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/9/97 S 150 D $20.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/10/97 S 150 D $20.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/10/97 A 100,000 A par value D
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/12/97 S 150 D $20.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/13/97 S 150 D $19.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/13/97 S 150 D $19.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 9 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 6/16/97 S 150 D $12.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/17/97 S 150 D $14.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/18/97 S 150 D $14.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/19/97 S 150 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/20/97 S 150 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/23/97 S 150 D $14.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/24/97 S 250 D $13.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/26/97 S 250 D $13.44 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/26/97 S 250 D $13.44 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/27/97 S 250 D $10.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 6/30/97 S 250 D $10.63 735,850 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/1/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/2/97 S 250 D $10.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/3/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 10 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 7/7/97 S 250 D $10.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/8/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/9/97 S 250 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/10/97 S 250 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/11/97 S 250 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/14/97 S 250 D $13.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/16/97 S 250 D $20.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/16/97 S 250 D $20.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock-Loaned 7/16/97 J 3,500 D $ - I Corporate (Note B)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/17/97 S 250 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/21/97 S 250 D $14.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/22/97 S 250 D $11.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/24/97 S 250 D $10.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/24/97 S 250 D $11.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 11 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 7/24/97 J 25,000 D $ - I Corporate (Notes
A, C)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/25/97 S 250 D $10.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/28/97 S 250 D $10.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/29/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/30/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 7/31/97 S 250 D $10.00 702,100 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/9/97 S 350 D $16.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/9/97 S 250 D $16.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/11/97 S 250 D $17.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/11/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/12/97 S 250 D $15.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/15/97 S 250 D $17.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/16/97 S 250 D $17.19 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/17/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 12 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 9/18/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/19/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/22/97 S 250 D $16.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/23/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/24/97 S 150 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/24/97 S 100 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/25/97 S 250 D $15.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/26/97 S 250 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/29/97 S 250 D $14.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 9/30/97 S 250 D $14.80 697,750 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/1/97 S 250 D $15.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/2/97 S 250 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/2/97 S 150 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/2/97 S 100 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 13 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 10/3/97 S 250 D $16.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/6/97 S 250 D $15.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/7/97 S 250 D $14.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/8/97 S 250 D $15.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/9/97 S 250 D $14.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/10/97 S 250 D $14.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/13/97 S 250 D $15.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/15/97 S 250 D $15.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/15/97 S 250 D $15.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/16/97 S 250 D $16.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/17/97 S 250 D $15.76 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/20/97 S 250 D $16.56 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/21/97 S 250 D $17.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/21/97 J 111,500 D $ - D Trust (Note D)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 14 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 10/21/97 G 10,000 D $ - D
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/21/97 G 500 D $ - D
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/21/97 G 3,000 D $ - D
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/22/97 S 250 D $16.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/23/97 S 250 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/24/97 S 250 D $15.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/27/97 S 250 D $15.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/29/97 S 250 D $13.44 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/30/97 S 250 D $13.75 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/31/97 S 250 D $12.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 10/31/97 S 250 D $12.50 678,250 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/14/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/17/97 S 250 D $11.88 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/18/97 S 250 D $10.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 15 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 11/19/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/20/97 J-3 200,000 A $ - I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/21/97 S 250 D $10.06 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/21/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/24/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/25/97 S 250 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 11/26/97 S 250 D $9.69 876,000 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/1/97 S 500 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/2/97 S 250 D $9.90 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/3/97 S 250 D $10.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/4/97 S 400 D $9.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/5/97 S 400 D $9.69 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/8/97 S 400 D $9.06 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/9/97 S 400 D $6.38 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 16 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 12/10/97 S 400 D $6.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/11/97 S 400 D $4.70 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/12/97 S 400 D $4.30 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/15/97 S 400 D $4.70 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/16/97 S 400 D $5.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/17/97 S 400 D $5.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/18/97 S 400 D $4.60 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/22/97 S 400 D $4.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/23/97 S 400 D $4.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/24/97 S 400 D $4.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/24/97 S 400 D $4.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/26/97 S 400 D $3.90 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/30/97 S 400 D $3.30 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/30/97 S 400 D $3.10 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 17 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 12/31/97 S 400 D $3.00 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/31/97 S 400 D $3.40 867,000 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/2/98 S 400 D $3.80 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/5/98 S 400 D $3.35 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/6/98 S 400 D $3.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/7/98 S 400 D $3.30 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/9/98 S 400 D $3.20 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/13/98 S 400 D $3.70 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/13/98 S 400 D $3.70 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/14/98 S 400 D $6.60 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/16/98 S 300 D $10.31 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/16/98 S 100 D $10.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/20/98 S 400 D $7.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/21/98 S 400 D $5.63 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Page 18 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 1/22/98 S 400 D $5.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/23/98 S 400 D $5.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/26/98 S 270 D $6.25 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/26/98 S 130 D $5.94 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/27/98 S 250 D $7.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/27/98 S 150 D $7.19 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/28/98 S 400 D $8.13 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/29/98 S 1,550 D $6.98 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/29/98 S 400 D $7.81 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/29/98 S 250 D $7.50 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
Common Stock 1/29/98 S 150 D $7.81 859,050 I Corporate (Note A)
- ------------------------------------------------------------------------------------------------------------------------------------
EXPLANATION:
- -----------
NOTE A: Represents transactions in shares held by Bio-Sphere Technology, Inc. ("BTI"), a corporation in which Mr. Steffens is an
officer, director and a shareholder. Mr. Steffens disclaims beneficial ownership in all shares held by BST other than to the extent
of his pecuniary interest therein. Mr. Steffens is no longer an officer or director of the issuer, but continues to be so of BTI.
NOTE B: Represents shares transferred on loan to another party. BTI expects that these shares will be returned in the future.
NOTE C: Represents shares transferred in settlement of legal claims.
Page 19 of 20
</TABLE>
<PAGE>
FORM 4 (continued)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 10549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
================================================================================
1. Name and Address of Reporting Person*
Steffens Don R.
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
100 North Arlington Ave., Suite 23P
- --------------------------------------------------------------------------------
(Street)
Reno NV 89501
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Issuer Name and Ticker or Trading Symbol
Harvard Scientific Corp. HVSF
================================================================================
4. Statement for Month/Year
All months beginning 6/96 through 1/98 (including unreported transactions
inadvertently omitted from previously filed Forms 4)
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
====================================================================================================================================
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
NOTE D: Represents transfer by Mr. Steffens to The Steffens Family Revocable Trust dated June 7, 1997, of which Mr. Steffens is the
Co-Trustee and Co-Settlor. Because Mr. Steffens may be deemed to beneficially own such shares, such ownership continues to be
reported herein.
NOTE E: Represents shares issued in exchange for the transfer of intellectual property rights.
Page 20 of 20
</TABLE>
