0001209191-15-042294.txt : 20150513
0001209191-15-042294.hdr.sgml : 20150513
20150513163020
ACCESSION NUMBER: 0001209191-15-042294
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150511
FILED AS OF DATE: 20150513
DATE AS OF CHANGE: 20150513
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: JOHNSON TIM B
CENTRAL INDEX KEY: 0001194674
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37369
FILM NUMBER: 15858808
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-05-11
0
0001169987
HTG MOLECULAR DIAGNOSTICS, INC
HTGM
0001194674
JOHNSON TIM B
C/O HTG MOLECULAR DIAGNOSTICS, INC.
3430 E. GLOBAL LOOP
TUCSON
AZ
85706
1
1
0
0
President & CEO
Common Stock
2015-05-11
4
C
0
2088
A
2088
D
Common Stock
2015-05-11
4
C
0
2174
A
4262
D
Common Stock
2015-05-11
4
C
0
567
A
4829
D
Common Stock
2015-05-11
4
C
0
98
A
4927
D
Common Stock
2015-05-11
4
J
0
791
0.00
A
5718
D
Series C-2 Convertible Preferred Stock
2015-05-11
4
C
0
221631
0.00
D
Common Stock
2088
0
D
Series D Convertible Preferred Stock
2015-05-11
4
C
0
233495
0.00
D
Common Stock
2174
0
D
Series E Convertible Preferred Stock
2015-05-11
4
C
0
60910
0.00
D
Common Stock
567
0
D
Series D Convertible Preferred Stock Warrant (right to buy)
2015-05-11
4
X
0
10544
0.00
D
2010-07-30
2020-07-29
Series D Convertible Preferred Stock
10544
0
D
Series D Convertible Preferred Stock
2015-05-11
4
X
0
10544
0.00
A
Common Stock
98
10544
D
Series D Convertible Preferred Stock
2015-05-11
4
C
0
10544
0.00
D
Common Stock
98
0
D
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.
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 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.
/s/ Shaun D. McMeans, Attorney-in-Fact
2015-05-13