Filing Details

Accession Number:
0001193125-19-039762
Form Type:
13D Filing
Publication Date:
2019-02-14 11:11:32
Filed By:
Merck Global Health Innovation Fund, Llc
Company:
Opgen Inc (NASDAQ:OPGN)
Filing Date:
2019-02-14
SEC Url:
13D Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Merck Global Health Innovation Fund 491,927 0 491,927 0 491,927 5.6 %
Merck Sharp Dohme Corp 491,927 0 491,927 0 491,927 5.6 %
Merck Co., Inc 491,927 0 491,927 0 491,927 5.6 %
Filing

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 5)

 

 

OPGEN, INC.

(Name of Issuer)

 

 

Common Stock, $0.01 par value

(Title of Class of Securities)

68373L208

(CUSIP Number)

William Taranto, President

Merck Global Health Innovation Fund, LLC

One Merck Drive

Whitehouse Station, NJ 08889

908-423-6551

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

December 31, 2018

(Date of Event which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ☐

 

*

The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 68373L208

 

  1.   

Names of Reporting Persons.

 

Merck Global Health Innovation Fund, LLC

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole Voting Power

 

491,927*

     8.   

Shared Voting Power

 

0

     9.   

Sole Dispositive Power

 

491,927*

   10.   

Shared Dispositive Power

 

0

11.  

Aggregate amount beneficially owned by each reporting person

 

491,927*

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

5.6**%

14.  

Type of Reporting Person (See Instructions)

 

OO

 

 

*

Includes (i) 59,159 shares owned previously owned; (ii) 48,000 shares of common stock and warrants to acquire 36,000 shares of common stock acquired at the First Closing pursuant to that certain Amended and Restated Securities Purchase Agreement dated May 18, 2016 (the A&R Purchase Agreement) which occurred on May 19, 2016; (iii) 109,377 shares of common stock and warrants to acquire 82,033 shares of common stock acquired at a Second Closing which occurred on June 27, 2016; (iv) a warrant to acquire 13,120 shares of common stock acquired in connection with amendment and restatement of a senior secured promissory note; and (v) 144,238 shares of common stock issued which represents payment for interest accrued on the Second Amended & Restated Senior Promissory Note through July 14, 2018.

**

Such percentage was calculated based upon an aggregate of 8,776,623 Issuer shares of common stock outstanding, consisting of (i) 8,645,470 Issuer shares of common stock outstanding as of November 9, 2018, as represented by the Companys Report on Form 10-Q filed with the Securities and Exchange Commission on November 14, 2018; and (ii) 131,153 shares of common stock able to be acquired by the Reporting Person upon exercise of warrants or stock options.


CUSIP No. 68373L208

 

  1.   

Names of Reporting Persons.

 

Merck Sharp & Dohme Corp.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

New Jersey

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole Voting Power

 

491,927*

     8.   

Shared Voting Power

 

0

     9.   

Sole Dispositive Power

 

491,927*

   10.   

Shared Dispositive Power

 

0

11.  

Aggregate amount beneficially owned by each reporting person

 

491,927*

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

5.6**%

14.  

Type of Reporting Person (See Instructions)

 

CO


CUSIP No. 68373L208

 

  1.   

Names of Reporting Persons.

 

Merck & Co., Inc.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

New Jersey

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole Voting Power

 

491,927*

     8.   

Shared Voting Power

 

0

     9.   

Sole Dispositive Power

 

491,927*

   10.   

Shared Dispositive Power

 

0

11.  

Aggregate amount beneficially owned by each reporting person

 

491,927*

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

5.6**%

14.  

Type of Reporting Person (See Instructions)

 

CO


Introductory Note

This Amendment No. 5 (this Amendment No. 5) amends the statement on Schedule 13D filed on July 23, 2015, amended by Amendment No. 1 filed on May 31, 2016, amended by Amendment No. 2 filed on June 29, 2016, Amendment No. 3 filed on February 8, 2018 and Amendment No. 4 filed on August 9, 2018 (the Schedule 13D).

This Amendment No. 5 amends the Schedule 13D as specifically set forth herein and is being filed to report a decrease in the Reporting Persons beneficial ownership in the Company due to an increase in the Companys issued and outstanding shares resulting primarily from the Companys consummation of a public offering of 2,220,000 shares of common stock on October 22, 2018.

Item 1. Security and Issuer.

This statement on Schedule 13D relates to the shares of common stock, $0.01 par value per share (the Common Stock), of OpGen, Inc., a Delaware corporation (the Issuer or Company). The Companys principal executive offices are located at 708 Quince Orchard Road, Suite 160, Gaithersburg, MD 20878.

Item 2. Identity and Background.

This Schedule 13D is being filed by Merck Global Health Innovation Fund, LLC (MGHIF), Merck Sharp & Dohme Corp. (MSD) and Merck & Co., Inc. (Merck and, together with MGHIF and MSD, the Reporting Persons).

Attached as Schedule A hereto is certain information concerning the executive officers and directors of MGHIF, MSD and Merck.

Merck is a global health care company that delivers innovative health solutions through its prescription medicines, vaccines, biologic therapies, and animal health products, which it markets directly and through its joint ventures. MSD is a wholly owned subsidiary of Merck, and is also a global health care company that delivers innovative health solutions through its prescription medicines, vaccines, biologic therapies and animal health products, which it markets directly and through its joint ventures. MGHIF is a wholly owned subsidiary of MSD and is principally engaged in the business of investing in healthcare companies outside of its parents core operations.

MGHIF is a Delaware limited liability company. MSD is a New Jersey corporation. Merck is a New Jersey corporation.

The address of the principal executive offices of the MGHIF is Two Merck Drive, 2W116, Whitehouse Station, NJ 08889. The address of the principal offices of MSD is Two Merck Drive, 2W116, Whitehouse Station, NJ 08889. The address of the principal offices of Merck is 2000 Galloping Hill Road, Kenilworth NJ 07033.

During the last five years, none of the Reporting Persons nor, to the best knowledge of the Reporting Persons, any of the persons listed on Schedule A, has been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of any judicial or administrative body of competent jurisdiction as a result of which such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding of any violation with respect to such laws.

Item 5. Interest in Securities of the Issuer.

Item 5 is amended and restated in its entirety as follows:

(a) The Reporting Persons may be deemed to beneficially own 491,927 shares of Common Stock of which 131,153 of the 491,927 shares of Common Stock represent shares that MGHIF has the right to acquire from the Issuer pursuant to Warrants. The Common Stock voting rights represent 5.6% of the total number of shares of common stock treated as outstanding for purposes of such vote. The ownership percentages set forth in this Schedule 13D, is based on information provided by the Issuer. As a result of their direct and indirect ownership of MGHIF, each of MSD and Merck may be deemed to share the Common Stock voting rights held in the name of the MGHIF.


(b) Each of the Reporting Persons has the power to vote or direct the vote of the 360,774 votes that may be cast in actions taken by common stockholders as a result of the shares of Common Stock held in the name of the MGHIF. None of the Reporting Persons has sole or shared power to direct the disposition of any shares of Common Stock.

(c) To the best knowledge of the Reporting Persons, none of the Reporting Persons nor the individuals named in Schedule A to this Schedule 13D has effected a transaction in shares of the Issuer during the past 60 days.

(d) Other than the Reporting Persons, no other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the Reporting Persons securities.

(e) Not applicable.


Signatures

After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated this 14th day of February, 2019.

 

MERCK GLOBAL HEALTH INNOVATION FUND, LLC
By:  

/s/Jon Filderman

Name: Jon Filderman
Title:   Secretary
MERCK SHARP & DOHME CORP.
By:  

/s/Faye C. Brown

Name: Faye C. Brown
Title:   Assistant Secretary
MERCK & CO., INC.
By:  

/s/Faye C. Brown

Name: Faye C. Brown
Title:   Senior Assistant Secretary

SCHEDULE A

The name, present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted, of each of the executive officers and directors of each of the Reporting Persons is set forth below.

MERCK GLOBAL HEALTH INNOVATION FUND, LLC

EXECUTIVE OFFICERS AND DIRECTORS

 

Name

   Principal Occupation    Business Address    Citizenship

Donna Daidone-Yahara

   Assistant Vice President,
Finance
   2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Robert Davis

   Manager / Vice President    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Katie Fedosz

   Assistant Secretary    2000 Galloping Hill Road

Kenilworth NJ, 07033

   USA

Jon Filderman

   Manager/ Secretary    2000 Galloping Hill Road

Kenilworth NJ, 07033

   USA

Julie Gerberding

   Manager    2000 Galloping Hill Road

Kenilworth NJ, 07033

   USA

Aaron Rosenberg

   Manager    2000 Galloping Hill Road

Kenilworth NJ, 07033

   USA

Timothy Dillane

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Juanita Lee

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Salvatore Lombardo

   Vice President, Tax    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Caroline Litchfield

   Senior Vice President and
Treasurer
   2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Faye C. Brown

   Assistant Secretary    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Joseph Miletich

   Manager    126 E. Lincoln Avenue

Rahway, NJ 07065

   USA

Joseph Promo

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Frank Clyburn

   Manager    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Michael G. Schwartz

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

William J. Taranto

   Manager / President    One Merck Drive,

Whitehouse Station, NJ 08889

   USA

Susan Shiff

   Manager    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Jim Scholefield

   Manager    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Jan Van Acker

   Manager    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

MERCK SHARP & DOHME CORP.

EXECUTIVE OFFICERS AND DIRECTORS

 

Name

   Principal Occupation    Business Address    Citizenship

Timothy Dillane

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Katie Fedosz

   Assistant Secretary    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Jon Filderman

   Director    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Rita Karachun

   Director / President    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Juanita Lee

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Salvatore Lombardo

   Assistant Secretary, Tax    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Caroline Litchfield

   Director /

Senior Vice President and
Treasurer

   2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Jerome Mychalowych

   Vice President, Tax    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Faye C. Brown

   Assistant Secretary    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Geralyn Ritter

   Secretary    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Michael G. Schwartz

   Assistant Treasurer    2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

MERCK & CO., INC.

OFFICERS

 

Name

   Principal Occupation   Business Address    Citizenship

Kenneth C. Frazier

   Chairman, President and Chief
Executive Officer / Director,
Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Sanat Chattopadhyay

   Executive Vice President and
President, Merck
Manufacturing Division
(MMD), Merck & Co., Inc.
  One Merck Drive,

Whitehouse Station, NJ
08889-0100

   USA

Robert Davis

   Executive Vice President,
Chief Financial Officer and
Global Services, Merck & Co.,
Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Richard R. DeLuca, Jr.

   Executive Vice President and
President, Merck Animal
Health
  Giralda Farms 2

Madison, NJ 07940

   USA

Faye C. Brown

   Senior Assistant Secretary,
Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Julie Gerberding

   Executive Vice President and
Chief Patient Officer, for
Strategic Communications,
Global Public Policy and
Population Health, Merck &
Co., Inc.
  351 N. Sumneytown Pike

North Wales, PA 19454

   USA

Steven C. Mizell

   Executive Vice President,
Human Resources, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Rita Karachun

   Senior Vice President Finance
Global Controller, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Timothy Dillane

   Assistant Treasurer, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Juanita Lee

   Assistant Treasurer, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Caroline Litchfield

   Senior Vice President and
Treasurer, Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Roger Perlmutter

   Executive Vice President and
President, Merck Research
Laboratories
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Geralyn Ritter

   Senior Vice President,
Corporate Secretary and
Assistant General Counsel,
Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Frank Clyburn

   Executive Vice President,
Chief Commercial Officer,
Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Michael G. Schwartz

   Assistant Treasurer, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Michael Nally

   Executive Vice President,
Chief Marketing Officer,
Merck & Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

Jennifer Zachary

   Executive Vice President and
General Counsel, Merck &
Co., Inc.
  2000 Galloping Hill Road

Kenilworth, NJ 07033

   USA

MERCK & CO., INC.

DIRECTORS

 

Kenneth C. Frazier

   Chairman, President and Chief
Executive Officer, Merck &
Co., Inc.
   2000 Galloping Hill Road

Kenilworth, NJ 07033

  USA

Leslie A. Brun

   Chairman and Chief Executive
Officer, Sarr Group, LLC
   435 Devon Park Drive,

700 Building,

Wayne, PA 19087

  USA

Thomas R. Cech

   Investigator, Howard Hughes
Medical Institute and Faculty,
University of Colorado.
   University of Colorado,

University of Colorado at Boulder

3415 Colorado Avenue, JSCBB

Boulder, CO 80309-0215

  USA

Thomas H. Glocer

   Retired Chief Executive
Officer, Thomson Reuters
Corporation
   6 East 43rd Street, 25th Floor

New York, NY 10022

  USA

Pamela J. Craig

   Former Chief Financial
Officer, Accenture, plc
   c/o Merck & Co., Inc.

2000 Galloping Hill Road

Kenilworth, NJ 07033

  USA

Rochelle B. Lazarus

   Chairman Emeritus, Ogilvy &
Mather
   636 11th Avenue,

New York, NY 10036-2010

  USA

John H. Noseworthy, M.D.

   Retired President and Chief
Executive Officer, Mayo
Clinic
   c/o Merck & Co., Inc.

2000 Galloping Hill Road

Kenilworth, NJ 07033

  USA

Paul B. Rothman, M.D.

   Dean of Medical Faculty and
Vice President for Medicine,
The Johns Hopkins University,
and CEO John Hopkins
Medicine
   733 N. Broadway, Suite 100
Baltimore, MD 21205-2196
  USA

Patricia F. Russo

   Chairman, Hewlett Packard
Enterprise Company
   Hewlett Packard Enterprise

300 Hanover Street Mailstop
1050

Palo Alto, CA 94304

  USA

Inge G. Thulin

   Executive Chairman, 3M
Company
   3M Corporate Headquarters

3M Center

St. Paul, MN 55144-1000

  USA

Wendell P. Weeks

   President, Chairman and Chief
Executive Officer, Corning
Incorporated
   1 Riverfront Plaza,

Corning, NY 14831-0001

  USA

Peter C. Wendell

   Managing Director, Sierra
Ventures
   1400 Fashion Island Blvd.

Suite 1010

San Mateo, CA 94404

  USA