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Filing Details

Accession Number:: 0001209191-15-042266
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-05-13 16:20:26
Reporting Period:: 2015-05-11

Filing Date:: 2015-05-13
Accepted Time:: 2015-05-13 16:20:26
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	Director	Officer	Large Shareholder	Other
1384327	Fsv Ii Lp	222 Berkeley Street Boston MA 02116	No	No	Yes	No
1384348	Fletcher Spaght Ventures Ii Lp	222 Berkeley Street Boston MA 02116	No	No	Yes	No
1433420	Fsv Ii-B Lp	222 Berkeley Street Boston MA 02116	No	No	Yes	No

Reported Non-Derivative Transactions

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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	246,727	$0.00	246,727	No	4	C	Indirect	By entities affiliatd with Fletcher Spaght Ventures
Common Stock	Acquisiton	2015-05-11	56,718	$0.00	303,445	No	4	C	Indirect	By entities affiliated with Fletcher Spaght Ventures
Common Stock	Acquisiton	2015-05-11	44,301	$14.00	347,746	No	4	J	Indirect	By entities affiliated with Fletcher Spaght Ventures
Common Stock	Acquisiton	2015-05-11	68,404	$0.00	416,150	No	4	J	Indirect	By entities affiliated with Fletcher Spaght Ventures
Common Stock	Acquisiton	2015-05-11	102,445	$14.00	518,595	No	4	P	Indirect	By entities affiliated with Fletcher Spaght Ventures

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By entities affiliatd with Fletcher Spaght Ventures
No	4	C	Indirect	By entities affiliated with Fletcher Spaght Ventures
No	4	J	Indirect	By entities affiliated with Fletcher Spaght Ventures
No	4	J	Indirect	By entities affiliated with Fletcher Spaght Ventures
No	4	P	Indirect	By entities affiliated with Fletcher Spaght Ventures

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-05-11	26,496,116	$0.00	246,727	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2015-05-11	6,091,062	$0.00	56,718	$0.00
Series E Convertible Preferred Stock	Series E Convertible Preferred Stock Warrants (right to buy)	Disposition	2015-05-11	1,358,988	$0.00	1,358,988	$0.22
Common Stock	Common Warrants (right to buy)	Acquisiton	2015-05-11	21,246	$0.00	21,246	$14.00

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	2015-01-14	2022-01-14	No	4	C	Indirect
21,246	2015-01-14	2022-01-14	No	4	C	Indirect

Footnotes

Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1 for 107.39 basis, after accounting for any applicable antidilution adjustments. The shares have no expiration date.
Shares held as follows: 156,453 by Fletcher Spaght Ventures II, L.P.; 74,519 by FSV II-B, L.P. and 15,755 by FSV II, L.P.
Shares held as follows: 35,966 by Fletcher Spaght Ventures II, L.P., 17,130 shares by FSV II-B, L.P. and 3,622 by FSV II, L.P.
Represents the conversion of outstanding promissory notes in the principal amount of $614,176.05, plus accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $14.00 per share held as follows: $389,456.40 held by Fletcher Spaght Ventures II, L.P., $185,498.94 held by FSV II-B, L.P. and $39,220.71 held by FSV II, L.P.
Shares held as follows: 28,092 by Fletcher Spaght Ventures II, L.P., 13,380 by FSV II-B, L.P. and 2,829 by FSV II, L.P.
On April 23, 2015, the Board of Directors of the Issuer declared a dividend payable to all holders of the Series D Convertible Preferred Stock and Series E Convertible Preferred Stock of the Issuer payable in the form of shares of Common Stock of the Issuer. The dividends were issued in connection with the closing of the Issuer's initial public offering.
Shares held as follows: 43,379 by Fletcher Spaght Ventures II, L.P., 20,660 by FSV II-B, L.P. and 4,365 by FSV II, L.P.
The shares were purchased at the Issuer's initial public offering.
Shares held as follows: 64,962 by Fletcher Spaght Ventures II, L.P., 30,941 by FSV II-B, L.P. and 6,542 by FSV II, L.P.
Pursuant to the terms of the warrant, effective upon the closing of the Issuer's initial public offering, the warrant became exercisable for the number of shares of common stock shown above at an exercise price equal to $14.00 per share.
Consists of warrants to purchase shares of Series E Convertible Preferred Stock as follows: 861,751 issued to Fletcher Spaght Ventures II, L.P., 410,454 issued to FSV II-B, L.P. and 86,783 issued to FSV II, L.P.
Consists of warrants to purchase shares of Common Stock as follows: 13,473 issued to Fletcher Spaght Ventures II, L.P., 6,417 issued to FSV II-B, L.P. and 1,356 issued to FSV II, L.P.