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Filing Details

Accession Number:: 0001209191-15-042302
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-05-13 16:36:29
Reporting Period:: 2015-05-11

Filing Date:: 2015-05-13
Accepted Time:: 2015-05-13 16:36:29
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
1623206	D. Lawrence Senour	One Merck Drive Po Box 1000 Whitehouse Station NJ 08889		No	No	Yes	No
1623584	Merck Capital Ventures Llc	One Merck Drive P.o. Box 1000 Whitehouse Station NJ 08889		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
Common Stock	Acquisiton	2015-05-11	125,327	$0.00	125,327	No	4	C	Direct
Common Stock	Acquisiton	2015-05-11	90,494	$0.00	215,821	No	4	C	Direct
Common Stock	Acquisiton	2015-05-11	192,373	$0.00	408,194	No	4	C	Direct
Common Stock	Acquisiton	2015-05-11	70,898	$0.00	479,092	No	4	C	Direct
Common Stock	Acquisiton	2015-05-11	1,963	$0.00	481,055	No	4	C	Direct
Common Stock	Acquisiton	2015-05-11	55,377	$14.00	536,432	No	4	J	Direct
Common Stock	Acquisiton	2015-05-11	52,929	$0.00	589,361	No	4	J	Direct
Common Stock	Acquisiton	2015-05-11	167,343	$14.00	756,704	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	J	Direct
No	4	J	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C-1 Convertible Preferred Stock	Disposition	2015-05-11	8,670,520	$0.00	125,327	$0.00
Common Stock	Series C-2 Convertible Preferred Stock	Disposition	2015-05-11	9,601,924	$0.00	90,494	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-05-11	20,658,958	$0.00	192,373	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2015-05-11	7,613,826	$0.00	70,898	$0.00
Series D Convertible Preferred Stock	Series D Convertible Preferred Stock Warrant (right to buy)	Disposition	2015-05-11	210,893	$0.00	210,893	$0.00
Common Stock	Series D Convertible Preferred Stock	Acquisiton	2015-05-11	210,893	$0.00	1,963	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-05-11	210,893	$0.00	1,963	$0.00
Series E Convertible Preferred Stock	Series E Convertible Preferred Stock Warrant (right to buy)	Disposition	2015-05-11	1,818,681	$0.00	1,818,681	$0.22
Common Stock	Common Warrant (right to buy)	Acquisiton	2015-05-11	28,436	$0.00	28,436	$14.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Direct
0			No	4	C	Direct
0			No	4	C	Direct
0			No	4	C	Direct
0	2010-07-30	2020-07-29	No	4	X	Direct
210,893			No	4	X	Direct
0			No	4	C	Direct
0	2015-01-14	2022-01-14	No	4	C	Direct
28,436	2015-01-14	2022-01-14	No	4	C	Direct

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.
The warrant was net exercised for shares of common stock upon the closing of the Issuer's initial public offering.
Represents the conversion of outstanding promissory notes in the principal amount of $767,719.83, 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.
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.
The shares were purchased at the Issuer's initial public offering.
The shares of Series D Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder without payment of further consideration. Each share of Series D Convertible Preferred Stock will automatically convert on a 1 for 107.39 basis into shares of Common Stock upon the closing of the Issuer's initial public offering.
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.