SEC Form 4 · accession 0001209191-16-108295
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 10, 2016
Accepted (ET)
Mar 14, 2016 · 8:39 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 StockF2 | Mar 10, 2016 | S | 1,211 | $2.4903 | D | 23,518 | D | |
| Common StockF3 | Mar 11, 2016 | S | 4,215 | $2.3554 | D | 19,303 | D | |
| Common StockF4 | Mar 14, 2016 | S | 109 | $2.1865 | D | 19,194 | 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 $2.4903, and the range of prices were between $2.35 and $2.69. 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.
- F3The weighted average sale price for the transaction reported was $2.3554, and the range of prices were between $2.1810 and $2.5900. 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.
- F4The weighted average sale price for the transaction reported was $2.1865, and the range of prices were between $2.1800 and $2.2000. 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.