HTG Molecular Diagnostics, Inc. Forms 3, 4 and 5: Warrants
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 Senour Lawrence D. | Merck Capital Ventures LLC; Form 4; Security Common Warrant (right to buy); Transaction C Conversion of derivative security.
- 2015-05-11: Reporting owner FSV II LP | FSV II-B LP | Fletcher Spaght Ventures II LP; Form 4; Security Common Warrants (right to buy); Transaction C Conversion of derivative security.
- 2015-05-11: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Common Stock Warrant (Right to Buy); Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-05-11 | Senour Lawrence D. | Merck Capital Ventures LLC 10% Owner | 10% Owner | 4 | Common Warrant (right to buy) Derivative · Direct | C Conversion of derivative security | +28,436 28,436 owned after | $14.00 exercise price | 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 | Common Warrants (right to buy) Derivative · Indirect · By entities affiliated with Fletcher Spaght Ventures | C Conversion of derivative security | +21,246 21,246 owned after | $14.00 exercise price | 2015-05-13 | |
| 2015-05-11 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | +43,538 43,538 owned after | $0.00 | 2015-05-13 |