SEC Form 4 · accession 0001209191-16-107479
HTG MOLECULAR DIAGNOSTICS, INC · HTGM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Debra A Gordon
Officer — V.P. and Chief Legal Counsel
Period of report
Mar 9, 2016
Accepted (ET)
Mar 9, 2016 · 8:24 pm EST
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 StockF2 | Mar 9, 2016 | S | 3,256 | $2.6867 | D | 24,729 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of shares of common stock under an existing Rule 10b5-1 Plan to cover tax withholding obligations incurred in connection with the issuance of shares of common stock to the Reporting Person on March 4, 2016 under the Issuer's annual incentive plan. The Issuer's annual incentive plan provides that performance-based bonuses may be paid in cash or shares of common stock, or a combination of both, at the discretion of the Issuer's board of directors.
- F2The weighted average sale price for the transaction reported was $2.68667, and the range of prices were between $2.50 and $2.94. Upon request by the SEC staff, the Issuer, or any securityholder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.