HTG Molecular Diagnostics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 73 rows, 73 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-02-25: Reporting owner LYTTON LAURENCE W; Form 4; Security Series A Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2020-02-25: Reporting owner LYTTON LAURENCE W; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-02-25: Reporting owner LYTTON LAURENCE W; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-08-25: Reporting owner Novo Holdings A/S; Form 4; Security SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-02-25 | LYTTON LAURENCE W 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +1,167 1,167 owned after | $0.00 | 2020-02-27 | |
| 2020-02-25 | LYTTON LAURENCE W 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +193 193 owned after | $59.00 | 2020-02-27 | |
| 2020-02-25 | LYTTON LAURENCE W 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +96 96 owned after | $59.00 | 2020-02-27 | |
| 2017-08-25 holding as of filing | Novo Holdings A/S 10% Owner | 4 | SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY) Derivative · Direct | Holding | 49,786 owned after | $14.00 exercise price | 2017-08-25 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series C-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,670,520 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series C-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,601,924 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,658,958 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,613,826 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −210,893 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +210,893 210,893 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −210,893 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | C Conversion of derivative security | −1,818,681 0 owned after | $0.22 exercise price | 2015-05-13 | |
| 2015-05-11 | McMeans Shaun D Officer (VP, Finance & Admin. & CFO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −114,207 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | McMeans Shaun D Officer (VP, Finance & Admin. & CFO) | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −152,276 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Lubniewski John L Officer (Chief Business Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −228,414 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Lubniewski John L Officer (Chief Business Officer) | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −76,138 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series C-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −221,631 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −233,495 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −60,910 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series D Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,544 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +10,544 10,544 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | JOHNSON TIM B Director, Officer (President & CEO) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,544 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Gordon Debra A Officer (V.P. and Chief Legal Counsel) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −25,124 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Gordon Debra A Officer (V.P. and Chief Legal Counsel) | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,646 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | George Harry A. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | C Conversion of derivative security | −574,212 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | George Harry A. Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | C Conversion of derivative security | −1,895,946 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | George Harry A. Director | 4 | Series D Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · By Entities affiliated with Solstice Capital | X Exercise of in-the-money or at-the-money derivative security | −126,535 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | George Harry A. Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | X Exercise of in-the-money or at-the-money derivative security | +126,535 126,535 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | George Harry A. Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | C Conversion of derivative security | −126,535 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | FSV II LP | FSV II-B LP | Fletcher Spaght Ventures II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By entities affiliated with Fletcher Spaght Ventures | C Conversion of derivative security | −26,496,116 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | FSV II LP | FSV II-B LP | Fletcher Spaght Ventures II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By entities affiliated with Fletcher Spaght Ventures | C Conversion of derivative security | −6,091,062 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | FSV II LP | FSV II-B LP | Fletcher Spaght Ventures II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Warrants (right to buy) Derivative · Indirect · By entities affiliated with Fletcher Spaght Ventures | C Conversion of derivative security | −1,358,988 0 owned after | $0.22 exercise price | 2015-05-13 | |
| 2015-05-11 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −36,546,366 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −15,227,653 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series E Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −2,784,593 0 owned after | $0.00 | 2015-05-13 | |
| 2015-05-11 | Novo A/S 10% Owner | 4 | SERIES D PREFERRED STOCK Derivative · Direct | C Conversion of derivative security | −598,415 0 owned after | $0.00 | 2015-05-12 | |
| 2015-05-11 | Novo A/S 10% Owner | 4 | SERIES E PREFERRED STOCK Derivative · Direct | C Conversion of derivative security | −156,123 0 owned after | $0.00 | 2015-05-12 | |
| 2015-05-11 | Novo A/S 10% Owner | 4 | SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −49,786 0 owned after | $0.00 | 2015-05-12 | |
| 2015-05-05 holding as of filing | Novo A/S 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Novo A/S 10% Owner | 3 | Series E Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Novo A/S 10% Owner | 3 | Series E Preferred Stock Warrants (Right to Buy) Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series E Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · See Explanation of Responses | Holding | $0.22 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $0.01 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $0.22 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series C-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series C-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Merck Capital Ventures LLC | Senour Lawrence D. 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | McMeans Shaun D Officer (VP, Finance & Admin. & CFO) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | McMeans Shaun D Officer (VP, Finance & Admin. & CFO) | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Lubniewski John L Officer (Chief Business Officer) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Lubniewski John L Officer (Chief Business Officer) | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | JOHNSON TIM B Director, Officer (President & CEO) | 3 | Series D Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $0.01 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | JOHNSON TIM B Director, Officer (President & CEO) | 3 | Series C-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | JOHNSON TIM B Director, Officer (President & CEO) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | JOHNSON TIM B Director, Officer (President & CEO) | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Gordon Debra A Officer (V.P. and Chief Legal Counsel) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | Gordon Debra A Officer (V.P. and Chief Legal Counsel) | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | George Harry A. Director | 3 | Series C-1 Convertible Preferred Stock Warrant (right to buy Derivative · Indirect · By Entities affiliated with Solstice Capital | Holding | $0.35 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | George Harry A. Director | 3 | Series D Convertible Preferred Stock Warrant (righ to buy) Derivative · Indirect · By Entities affiliated with Solstice Capital | Holding | $0.01 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | George Harry A. Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | George Harry A. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Entities affiliated with Solstice Capital | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Warrant (right to buy) Derivative · Direct · (m) | Holding | $0.22 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · (m) | Holding | $0.22 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · (m) | Holding | $0.22 exercise price | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2015-05-05 | ||
| 2015-05-05 holding as of filing | FSV II LP | Fletcher Spaght Ventures II LP | FSV II-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2015-05-05 |