Filing Details
- Accession Number:
- 0001140361-15-019195
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-12 18:54:47
- Reporting Period:
- 2015-05-08
- Filing Date:
- 2015-05-12
- Accepted Time:
- 2015-05-12 18:54:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1456585 | Versant Side Fund Iii, L.p. | One Sansome Street Suite 3630 San Francisco CA 94104 | No | No | Yes | No | |
| 1456586 | Versant Venture Capital Iii, L.p. | One Sansome Street Suite 3630 San Francisco CA 94104 | No | No | Yes | No | |
| 1456587 | Versant Ventures Iii, Llc | One Sansome Street Suite 3630 San Francisco CA 94104 | No | No | Yes | 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 | 410,906 | $6.00 | 483,072 | No | 4 | P | Indirect | By Versant Venture Capital III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 1,153,229 | $0.00 | 1,636,301 | No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 402,348 | $0.00 | 2,038,649 | No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 500,565 | $0.00 | 2,539,214 | No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 2,426 | $6.00 | 2,853 | No | 4 | P | Indirect | By Versant Side Fund III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 6,810 | $0.00 | 9,663 | No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 2,377 | $0.00 | 12,040 | No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
| Common Stock | Acquisiton | 2015-05-08 | 2,957 | $0.00 | 14,997 | No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Versant Venture Capital III, L.P. |
| No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| No | 4 | C | Indirect | By Versant Venture Capital III, L.P. |
| No | 4 | P | Indirect | By Versant Side Fund III, L.P. |
| No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
| No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
| No | 4 | C | Indirect | By Versant Side Fund III, L.P. |
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 | 1,153,229 | $0.00 | 1,153,229 | $0.00 |
| Common Stock | Series A Redeemable Convertible Preferred Stock | Disposition | 2015-05-08 | 6,810 | $0.00 | 6,810 | $0.00 |
| Common Stock | 2014 Convertible Notes | Disposition | 2015-05-08 | 402,348 | $0.00 | 402,348 | $0.00 |
| Common Stock | 2014 Convertible Notes | Disposition | 2015-05-08 | 2,377 | $0.00 | 2,377 | $0.00 |
| Common Stock | 2015 Convertible Notes | Disposition | 2015-05-08 | 500,565 | $0.00 | 500,565 | $0.00 |
| Common Stock | 2015 Convertible Notes | Disposition | 2015-05-08 | 2,957 | $0.00 | 2,957 | $0.00 |
| Common Stock | Warrants | Acquisiton | 2015-05-08 | 410,906 | $0.00 | 410,906 | $6.60 |
| Common Stock | Warrants | Acquisiton | 2015-05-08 | 2,426 | $0.00 | 2,426 | $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 | ||
| 0 | No | 4 | C | Indirect | ||
| 410,906 | 2015-05-08 | 2020-05-08 | No | 4 | P | Indirect |
| 2,426 | 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.
- Versant Ventures III, LLC is the sole general partner of Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. and has voting and dispositive power with respect to these shares. The individual managing members of Versant Ventures III, LLC are Brian G. Atwood, Bradley J. Bolzon, Samuel D. Colella, Ross A. Jaffe, William J. Link, Barbara N. Lubash, Donald B. Milder, Rebecca B. Robertson, Robin L. Praeger and Charles M. Warden (collectively, the "Managing Members"), all of whom share voting and investment power with respect to these shares. Each individual Managing Member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.
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