Home > Insider Trading > Filing (0001209191-17-050346)

Filing Details

Accession Number:: 0001209191-17-050346
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-08-25 20:17:41
Reporting Period:: 2017-08-23

Accepted Time:: 2017-08-25 19:17:41
SEC Url:: Form 4 Filing

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
1388325	A/S Holdings Novo	Tuborg Havnevej 19 Hellerup G7 2900		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2017-08-23	47,162	$2.02	1,102,651	No	4	S	Direct
Common Stock	Disposition	2017-08-24	382,437	$1.91	720,214	No	4	S	Direct
Common Stock	Disposition	2017-08-25	720,214	$1.75	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY)	$14.00		2022-01-14	49,786	49,786	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-01-14	49,786	49,786	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.95 to $2.07, inclusive. Novo Holdings A/S ("Novo") undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
This total does not include 49,786 shares of common stock subject to warrants which were erroneously reported as having been exercised in connection with the Issuer's IPO on a Form 4 filed May 12, 2015. Thus, the holdings of common stock reported by Novo since the May 12, 2015 filing have overstated the total shares held by 49,786 shares.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.900 to $2.045, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 to $1.87, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
These warrants have no expiration date and are convertible at any time at the holder's election.
These warrants were erroneously reported as exercised at the time of the IPO on the Form 4 filed May 12, 2015. The warrants are unexercised and, as of the date of this filing, Novo does not hold any shares of common stock but continues to hold the warrants.