Filing Details
- Accession Number:
- 0001140361-15-019189
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-12 18:46:55
- Reporting Period:
- 2015-05-08
- Filing Date:
- 2015-05-12
- Accepted Time:
- 2015-05-12 18:46:55
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1293818 | Opgen Inc | OPGN,OPGNW | Services-Medical Laboratories (8071) | 061614015 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1020741 | Fa Evan/ Jones | C/O Opgen, Inc. 708 Quince Orchard Road, Suite 160 Gaithersburg MD 20878 | Chief Executive Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-05-08 | 445,000 | $6.00 | 445,000 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2015-05-08 | 1,059,213 | $0.00 | 1,504,213 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2015-05-08 | 749,366 | $0.00 | 2,253,579 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2015-05-08 | 675,553 | $0.00 | 2,929,132 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2015-05-08 | 8,333 | $6.00 | 8,333 | No | 4 | P | Indirect | By spouse |
Common Stock | Acquisiton | 2015-05-08 | 19,011 | $0.00 | 27,344 | No | 4 | C | Indirect | By spouse |
Common Stock | Acquisiton | 2015-05-08 | 103,812 | $0.00 | 131,156 | No | 4 | C | Indirect | By spouse |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | C | Indirect | See footnote |
No | 4 | C | Indirect | See footnote |
No | 4 | C | Indirect | See footnote |
No | 4 | P | Indirect | By spouse |
No | 4 | C | Indirect | By spouse |
No | 4 | C | Indirect | By spouse |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Redeemable Convertible Preferred Stock | Disposition | 2015-05-08 | 1,059,213 | $0.00 | 1,059,213 | $0.00 |
Common Stock | Series A Redeemable Convertible Preferred Stock | Disposition | 2015-05-08 | 19,011 | $0.00 | 19,011 | $0.00 |
Common Stock | 2014 Convertible Notes | Disposition | 2015-05-08 | 749,366 | $0.00 | 749,366 | $0.00 |
Common Stock | 2015 Convertible Notes | Disposition | 2015-05-08 | 675,553 | $0.00 | 675,553 | $0.00 |
Common Stock | 2015 Convertible Notes | Disposition | 2015-05-08 | 103,812 | $0.00 | 103,812 | $0.00 |
Common Stock | Warrants | Acquisiton | 2015-05-08 | 445,000 | $0.00 | 445,000 | $6.60 |
Common Stock | Warrants | Acquisiton | 2015-05-08 | 8,333 | $0.00 | 8,333 | $6.60 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
445,000 | 2015-05-08 | 2020-05-08 | No | 4 | P | Indirect |
8,333 | 2015-05-08 | 2020-05-08 | No | 4 | P | Indirect |
Footnotes
- Series A Redeemable Convertible Preferred Stock automatically converted into common stock on a 1-to-1 basis upon the consummation of the Company's initial public offering.
- The 2014 Convertible Notes automatically converted into shares of Series A Preferred Stock upon the consummation of the Company's initial public offering at a conversion rate of one share of Series A Preferred Stock for every $1.00 of principal converted. Each share of Series A Preferred Stock automatically converted into one share of common stock upon the consummation of the Company's initial public offering.
- The 2015 Convertible Notes converted into Series A Preferred Stock upon the consummation of the Company's initial public offering at a conversion rate of 1.25 shares of Series A Preferred Stock for each $1.00 of principal converted. Each share of Series A Preferred stock automatically converted into one share of common stock upon the consummation of the Company's initial public offering.
- The securities are directly held by jVen Capital, LLC ("jVen Capital"). Mr. Jones is managing member of jVen Capital and may be deemed to have voting and dispositive power over the shares owned by jVen Capital.