Statement of Changes in Beneficial Ownership (4)
20 May 2021 - 6:46AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
DEC TIMOTHY C |
2. Issuer Name and Ticker or Trading Symbol
OPGEN INC
[
OPGN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O OPGEN, INC., 9717 KEY WEST AVE, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2021 |
(Street)
ROCKVILLE, MD 20850
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock (1) | 5/17/2021 | | M | | 583 | A | $0.00 | 1509 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1) | (2) | 5/17/2021 | | M | | | 583 | (3) | (3) | Common Stock | 583 | $0.00 | 584 | D | |
Explanation of Responses: |
(1) | All stock information is adjusted to reflect a twenty-five-to-one reverse stock split effected on August 29, 2019. |
(2) | Represents vesting of restricted stock units ("RSUs") granted in May 2019 that convert into common stock on a one-for-one basis. |
(3) | On May 17, 2019, the Reporting Person was granted 1,750 RSUs (on a post-stock split basis). The RSUs were granted subject to forfeiture, which forfeiture restrictions will lapse as to one-third of the award on the first, second and third anniversaries of the date of grant, subject to acceleration as set forth in the Reporting Person's employment agreement with the Registrant. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DEC TIMOTHY C C/O OPGEN, INC. 9717 KEY WEST AVE, SUITE 100 ROCKVILLE, MD 20850 |
|
| Chief Financial Officer |
|
Signatures
|
/s/ Timothy C. Dec | | 5/19/2021 |
**Signature of Reporting Person | Date |
OpGen (NASDAQ:OPGN)
Historical Stock Chart
From Sep 2024 to Oct 2024
OpGen (NASDAQ:OPGN)
Historical Stock Chart
From Oct 2023 to Oct 2024