0001421578-16-000044.txt : 20160216 0001421578-16-000044.hdr.sgml : 20160215 20160216115606 ACCESSION NUMBER: 0001421578-16-000044 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160216 DATE AS OF CHANGE: 20160216 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88837 FILM NUMBER: 161425097 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PUTNAM INVESTMENTS LLC CENTRAL INDEX KEY: 0001421578 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE POST OFFICE SQUARE CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: (617) 760-0514 MAIL ADDRESS: STREET 1: ONE POST OFFICE SQUARE CITY: BOSTON STATE: MA ZIP: 02109 SC 13G 1 ciiicb.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) HTG MOLECULAR DIAGNOSTICS, INC. -------------------------------------------------------------------------------- (Name of Issuer) Common -------------------------------------------------------------------------------- (Title of Class of Securities) 40434H104 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2015 -------------------------------------------------------------------------------- (Date of Event Which Requires Filing Of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: (X) Rule 13d-1(b) ( ) Rule 13d-1(c) ( ) Rule 13d-1(d) 13G CUSIP 40434H104 -------------------------------------------------------------------------------- 1. Name of reporting person S.S. or I.R.S. identification no. of above person Putnam Investments, LLC. d/b/a/ Putnam Investments 26-1080669 -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group (a) ( ) (b) ( ) -------------------------------------------------------------------------------- 3. SEC use only -------------------------------------------------------------------------------- 4. Citizenship or place of organization Delaware -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: 5. Sole Voting Power 30,249 ------------------------ 6. Shared Voting Power NONE ------------------------ 7. Sole Dispositive 575,692 ------------------------ 8. Shared Dispositive NONE -------------------------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 575,692 -------------------------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares ( ) -------------------------------------------------------------------------------- 11. Percent of class represented by amount in row 9 8.4% -------------------------------------------------------------------------------- 12. Type of Reporting person HC -------------------------------------------------------------------------------- 13G CUSIP 40434H104 -------------------------------------------------------------------------------- 1. Name of reporting person S.S. or I.R.S. identification no. of above person Putnam Investment Management, LLC. 04-3542621 -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group (a) ( ) (b) ( ) -------------------------------------------------------------------------------- 3. SEC use only -------------------------------------------------------------------------------- 4. Citizenship or place of organization Delaware -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: 5. Sole Voting Power NONE ------------------------ 6. Shared Voting Power NONE ------------------------ 7. Sole Dispositive 545,443 ------------------------ 8. Shared Dispositive NONE -------------------------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 545,443 -------------------------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares ( ) -------------------------------------------------------------------------------- 11. Percent of class represented by amount in row 9 8.0% -------------------------------------------------------------------------------- 12. Type of Reporting person IA -------------------------------------------------------------------------------- 13G CUSIP 40434H104 -------------------------------------------------------------------------------- 1. Name of reporting person S.S. or I.R.S. identification no. of above person The Putnam Advisory Company, LLC. 04-3543039 -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group (a) ( ) (b) ( ) -------------------------------------------------------------------------------- 3. SEC use only -------------------------------------------------------------------------------- 4. Citizenship or place of organization Delaware -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: 5. Sole Voting Power 30,249 ------------------------ 6. Shared Voting Power NONE ------------------------ 7. Sole Dispositive 30,249 ------------------------ 8. Shared Dispositive NONE -------------------------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 30,249 -------------------------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares ( ) -------------------------------------------------------------------------------- 11. Percent of class represented by amount in row 9 0.4% -------------------------------------------------------------------------------- 12. Type of Reporting person IA -------------------------------------------------------------------------------- 13G CUSIP 40434H104 -------------------------------------------------------------------------------- 1. Name of reporting person S.S. or I.R.S. identification no. of above person PUTNAM NEW OPPORTUNITIES FUND 04-3091455 -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group (a) ( ) (b) ( ) -------------------------------------------------------------------------------- 3. SEC use only -------------------------------------------------------------------------------- 4. Citizenship or place of organization Massachusetts -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: 5. Sole Voting Power 370,078 ------------------------ 6. Shared Voting Power NONE ------------------------ 7. Sole Dispositive 370,078 ------------------------ 8. Shared Dispositive NONE -------------------------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 370,078 -------------------------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares ( ) -------------------------------------------------------------------------------- 11. Percent of class represented by amount in row 9 5.4% -------------------------------------------------------------------------------- 12. Type of Reporting person IV -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: HTG MOLECULAR DIAGNOSTICS, INC. -------------------------------------------------------------------------------- Item 1(b) Address of Issuer's Principal Executive Offices: 3430 E. Global Loop Tucson, AZ 85706 -------------------------------------------------------------------------------- Item 2(a) Item 2(b) Name of Person Filing: Address or principal business office or, if none, residence: Putnam Investments, LLC d/b/a One Post Office Square Putnam Investments ("PI") Boston, Massachusetts 02109 on behalf of itself and: Putnam Investment Management One Post Office Square Management, LLC. ("PIM") Boston, Massachusetts 02109 The Putnam Advisory One Post Office Square Company, LLC. ("PAC") Boston, Massachusetts 02109 **PUTNAM NEW OPPORTUNITIES FUND One Post Office Square Boston, Massachusetts 02109 -------------------------------------------------------------------------------- Item 2(c) Citizenship: PI, PIM and PAC are limited liability companies organized under Delaware law. The citizenship of other persons identified in Item 2(a) is designated as follows: **Voluntary association known as Massachusetts business trust - Massachusetts law -------------------------------------------------------------------------------- Item 2(d) Title of Class of Securities: Common -------------------------------------------------------------------------------- Item 2(e) Cusip Number: 40434H104 -------------------------------------------------------------------------------- Item 3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a)( ) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b)( ) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c)( ) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d)(X) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8); (e)(X) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); (f)( ) An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); (g)(X) A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h)( ) A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i)( ) A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)( ) A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J); (k)( ) Group, in accordance with 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ Item 4. Ownership PIM* + PAC* = PI** ---- ---- ---- (a) Amount Beneficially 545,443 30,249 575,692 Owned: (b) Percent of Class: 8.0% 0.4% 8.4% (c) Number of shares as to which the person has: (1) Sole power to vote NONE 30,249 30,249 or to direct the vote; (but see Item 7) (2) Shared power to vote NONE NONE NONE or to direct the vote; (but see Item 7) (3) Sole power to dispose or to direct the 545,443 30,249 575,692 disposition of; (but see Item 7) (4) Shared power to dispose or to direct NONE NONE NONE the disposition of; (but see Item 7) * Investment adviser subsidiary of PI ** Parent company to PIM and PAC Note: as part of the Putnam Family of Funds, and the 545,443 shares held by PIM, the PUTNAM NEW OPPORTUNITIES FUND held 370,078 shares, or 5.4% Item 5. Ownership of 5 Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ( ) Item 6. Ownership of More than Five/Ten Percent on Behalf of Another Person: Clients of or the persons filing this Schedule 13G have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities reported on this Schedule 13G. Unless otherwise indicated by the persons filing this Schedule 13G, no person's interest relates to more than five percent of the class of securities. Securities reported on this Schedule 13G as being beneficially owned by PI consist of securities beneficially owned by subsidiaries of PI which are registered investment advisers, which in turn include securities beneficially owned by clients of such investment advisers, which clients may include investment companies registered under the Investment Company Act and/or employee benefit plans, pension funds, endowment funds or other institutional clients. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company PI, wholly owns two registered investment advisers: Putnam Investment Management, LLC, which is the investment adviser to the Putnam family of mutual funds and the Putnam Advisory Company, LLC, which is the investment adviser to Putnam's institutional clients. Both subsidiaries have dispositive power over the shares as investment managers. In the case of shares held by the Putnam mutual funds managed by Putnam Investment Management, LLC, the mutual funds, through their boards of trustees, have voting power. Unless otherwise indicated, The Putnam Advisory Company, LLC has sole voting power over the shares held by its institutional clients. Pursuant to Rule 13d-4, PI declares that the filing of this Schedule 13G shall not be deemed an admission for the purposes of Section 13(d) or 13(g) that it is the beneficial owner of any securities covered by this Schedule 13G, and further states that it does not have any power to vote or dispose of, or direct the voting or disposition of, any of the securities covered by this Schedule 13G. Item 8. Identification and Classification of Members of the Group: Not applicable. Item 9. Notice of Dissolution of Group: Not applicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under 240.14a-11. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Putnam Investments, LLC /s/ Harold P. Short Jr. BY: ------------------------------------- Signature Name/Title: Harold P. Short Jr. Director, Trade Oversight Compliance and International Compliance Date: February 16, 2016 For this and all future filings, reference is made to Power of Attorney dated February 15, 2011, with respect to duly authorized signatures on behalf of Putnam Investments LLC., Putnam Investment Management, LLC., The Putnam Advisory Company, LLC. and any Putnam Fund wherever applicable. For this and all future filings, reference is made to an Agreement dated June 28, 1990, with respect to one filing of Schedule 13G on behalf of said entities, pursuant to Rule 13d-1(f)(1).