Initial Statement of Beneficial Ownership (3)
November 17 2017 - 4:07PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Sapiro Vadim M.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/9/2017
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3. Issuer Name
and
Ticker or Trading Symbol
OPGEN INC [OPGEN,OPGN]
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(Last)
(First)
(Middle)
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD, SUITE 205
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Information Officer /
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(Street)
GAITHERSBURG, MD 20878
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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40115
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options
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3/23/2012
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3/23/2022
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Common Stock
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64
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$7.91
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D
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Stock Options
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3/23/2015
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3/23/2022
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Common Stock
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918
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$7.91
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D
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Stock Options
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2/12/2017
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2/12/2023
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Common Stock
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253
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$7.91
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D
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Stock Options
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2/12/2014
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2/12/2023
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Common Stock
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127
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$7.91
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D
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Stock Options
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7/25/2017
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2/25/2023
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Common Stock
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633
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$7.91
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D
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Stock Options
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(1)
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4/24/2024
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Common Stock
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3589
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$0.05
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D
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Stock Options
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(2)
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10/23/2024
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Common Stock
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50000
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$0.61
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D
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Stock Options
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5/4/2016
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5/4/2025
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Common Stock
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25000
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$6.00
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D
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Stock Options
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(2)
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6/13/2026
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Common Stock
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40000
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$1.55
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D
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Stock Options
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(3)
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2/23/2027
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Common Stock
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55000
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$1.03
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D
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Stock Options
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8/9/2018
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8/9/2027
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Common Stock
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60000
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$0.295
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D
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Warrants
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5/19/2016
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5/19/2021
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Common Stock
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9837
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$1.31
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D
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Warrants
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7/18/2017
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7/18/2022
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Common Stock
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25000
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$0.425
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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35000
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$0.00
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D
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Explanation of Responses:
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(1)
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Vests 25% on December 31, 2014 and 6.25% quarterly thereafter in equal proportions over a three-year period.
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(2)
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Vests 25% on first anniversary of the Date of Grant and 6.25% at the end of each quarterly period thereafter starting with the first full calendar quarter, in equal proportions, over a three-year period with the full remaining amount vesting four years from the Date of Grant.
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(3)
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Vests 25% on first anniversary of the Date of Grant and 6.25% quarterly thereafter on the first business day of each quarter for a period of three years.
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(4)
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The restricted stock units vest upon the successful launch of OpGen, Inc's cUTI RUO mAST.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Sapiro Vadim M.
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD
SUITE 205
GAITHERSBURG, MD 20878
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Chief Information Officer
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Signatures
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/s/ Vadim M. Sapiro
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11/17/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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