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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1169987	Htg Molecular Diagnostics Inc	HTGM	Laboratory Analytical Instruments (3826)	860912294

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1131399	Plc Glaxosmithkline	980 Great West Road Brentford, Middlesex, TW8 9GS		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	2015-05-11	365,106	$14.00	365,106	No	4	P	Indirect	By S.R. One, Limited
Common Stock	Acquisiton	2015-05-11	340,314	$0.00	705,420	No	4	C	Indirect	By S.R. One, Limited
Common Stock	Acquisiton	2015-05-11	141,797	$0.00	847,217	No	4	C	Indirect	By S.R. One, Limited
Common Stock	Acquisiton	2015-05-11	91,271	$0.00	938,488	No	4	J	Indirect	By S.R. One, Limited
Common Stock	Acquisiton	2015-05-11	110,755	$0.00	1,049,243	No	4	C	Indirect	By S.R. One, Limited

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By S.R. One, Limited
No	4	C	Indirect	By S.R. One, Limited
No	4	C	Indirect	By S.R. One, Limited
No	4	J	Indirect	By S.R. One, Limited
No	4	C	Indirect	By S.R. One, Limited

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-05-11	36,546,366	$0.00	340,314	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2015-05-11	15,227,653	$0.00	141,797	$0.00
Common Stock	Subordinated Convertible Promissory Note	Disposition	2015-05-11	110,755	$0.00	110,755	$0.00
Common Stock	Series E Convertible Preferred Stock Warrant (Right to Buy)	Disposition	2015-05-11	2,784,593	$0.00	2,784,593	$0.00
Common Stock	Common Stock Warrant (Right to Buy)	Acquisiton	2015-05-11	43,538	$0.00	43,538	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	C	Indirect
0		No	4	C	Indirect
0	2016-03-31	No	4	C	Indirect
0	2022-01-14	No	4	C	Indirect
43,538	2022-01-14	No	4	C	Indirect

Footnotes

Shares purchased in the Issuer's initial public offering at the initial public offering price of $14.00 per share.
Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (Reporting Person).
Each share of Series D Convertible Preferred Stock and Series E Convertible Preferred Stock, including all accrued cumulative and unpaid dividends thereon, converted automatically into Common Stock on a 1-for-107.39 basis, upon the closing of the Issuer's initial public offering. Both the Series D Convertible Preferred Stock and the Series E Convertible Preferred Stock had no expiration date.
Shares of Common Stock acquired upon payment of shares in respect of dividends accrued on Series D Convertible Preferred Stock and Series E Convertible Preferred Stock at the closing of the Issuer's initial public offering.
The Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's initial public offering.
The right to receive 2,784,593 Series E Shares upon exercise of the Warrants converted automatically into a right to receive 43,538 shares of Common Stock upon exercise of the Warrants, which can be exercised at any time, at an exercise price of $14.00, upon the closing of the Issuer's initial public offering.