HTG Molecular Diagnostics, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-05-11: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Subordinated Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2015-05-11: Reporting owner Novo A/S; Form 4; Security CONVERTIBLE PROMISSORY NOTES (RIGHT TO BUY); Transaction C Conversion of derivative security.
- 2015-05-05: Reporting owner Novo A/S; Form 3; Security Convertible Promissory Notes; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-05-11 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Subordinated Convertible Promissory Note Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −110,755 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Novo A/S 10% Owner | 4 | CONVERTIBLE PROMISSORY NOTES (RIGHT TO BUY) Derivative · Direct | C Conversion of derivative security | −110,755 0 owned after | $0.00 | 2015-05-12 | |
| 2015-05-05 holding as of filing | Novo A/S 10% Owner | 3 | Convertible Promissory Notes Derivative · Direct | Holding | no price filed | 2015-05-05 |