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Filing Details

Accession Number:
0001140361-15-019184
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-05-12 18:37:11
Reporting Period:
2015-05-08
Filing Date:
2015-05-12
Accepted Time:
2015-05-12 18:37:11
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
1266567 G Brian Atwood One Sansome Street, Suite 3630
San Francisco CA 94104
Yes 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 2015-05-08 413,332 $6.00 485,925 No 4 P Indirect See footnote
Common Stock Acquisiton 2015-05-08 1,160,039 $0.00 1,645,964 No 4 C Indirect See footnote
Common Stock Acquisiton 2015-05-08 404,725 $0.00 2,050,689 No 4 C Indirect See footnote
Common Stock Acquisiton 2015-05-08 503,522 $0.00 2,554,211 No 4 C Indirect See footnote
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
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 1,160,039 $0.00 1,160,039 $0.00
Common Stock 2014 Convertible Notes Disposition 2015-05-08 404,725 $0.00 404,725 $0.00
Common Stock 2015 Convertible Notes Disposition 2015-05-08 503,522 $0.00 503,522 $0.00
Common Stock Warrants Acquisiton 2015-05-08 413,332 $0.00 413,332 $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
413,332 2015-05-08 2020-05-08 No 4 P Indirect
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. The securities are directly held by Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. (collectively, the "Versant Entities"). Mr. Atwood is a managing member of Versant Ventures III, LLC, the sole general partner of the Versant Entities and may be deemed to have shared voting and dispositive power over the shares owned by the Versant Entities. Mr. Atwood disclaims beneficial ownership of all shares held by the Versant Entities, except to the extent of his actual pecuniary interest therein.