0000903423-15-000294.txt : 20150505
0000903423-15-000294.hdr.sgml : 20150505
20150505185356
ACCESSION NUMBER: 0000903423-15-000294
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150505
FILED AS OF DATE: 20150505
DATE AS OF CHANGE: 20150505
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HTG MOLECULAR DIAGNOSTICS, INC
CENTRAL INDEX KEY: 0001169987
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 860912294
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3430 E. GLOBAL LOOP
CITY: TUCSON
STATE: AZ
ZIP: 85706
BUSINESS PHONE: 877-289-2615
MAIL ADDRESS:
STREET 1: 3430 E. GLOBAL LOOP
CITY: TUCSON
STATE: AZ
ZIP: 85706
FORMER COMPANY:
FORMER CONFORMED NAME: HTG MOLECULAR DIAGNOSTICS INC
DATE OF NAME CHANGE: 20110523
FORMER COMPANY:
FORMER CONFORMED NAME: HIGH THROUGHPUT GENOMICS INC
DATE OF NAME CHANGE: 20020326
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC
CENTRAL INDEX KEY: 0001131399
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: X0
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37369
FILM NUMBER: 15834604
BUSINESS ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
BUSINESS PHONE: 011442080475000
MAIL ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
3
1
glaxohtgf3.xml
OWNERSHIP DOCUMENT
X0206
3
2015-05-05
0
0001169987
HTG MOLECULAR DIAGNOSTICS, INC
HTGM
0001131399
GLAXOSMITHKLINE PLC
980 GREAT WEST ROAD
BRENTFORD MIDDLESEX
X0
TW8 9GS
UNITED KINGDOM
0
0
1
0
Series D Convertible Preferred Stock
Common Stock
340314
I
See Explanation of Responses
Series E Convertible Preferred Stock
Common Stock
141797
I
See Explanation of Responses
Series E Convertible Preferred Stock Warrant (Right to Buy)
0.2189
2015-01-14
2022-01-14
Series E Convertible Preferred Stock
2784593
I
See Explanation of Responses
The Series D Convertible Preferred Stock and Series E Convertible Preferred Stock are each convertible into Common Stock at any time at the holder's election and upon the consummation of a qualified public offering of the registrant. There is no expiration date for any series of preferred stock.
Shares are held by S.R. One Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline PLC (Reporting Person).
The 2,784,593 Series E Shares due upon exercise of the Warrants will convert automatically into 25,928 shares of Common Stock with an exercise price of $23.507 per share upon the closing of the Issuer's initial public offering.
/s/ Victoria Whyte, Company Secretary
2015-05-05