SEC Form 4 · accession 0000903423-17-000236
HTG MOLECULAR DIAGNOSTICS, INC · HTGM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
GLAXOSMITHKLINE PLC
Other
Period of report
Mar 27, 2017
Accepted (ET)
Mar 29, 2017 · 4:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001169987
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 27, 2017 | S | 300,000 | $10.1506 | D | 792,781 | I | By S.R. One, Limited |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Including 43,538 shares of the Issuer's Common Stock deliverable upon the exercise of a warrant that is exercisable at any time at an exercise price of $14.00.
- F2Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (Reporting Person).