Initial Statement of Beneficial Ownership (3)
April 10 2020 - 4:10PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Schacht Oliver |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
OPGEN INC [OPGN,OPGNW]
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(Last)
(First)
(Middle)
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD, SUITE 205 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Executive Officer / |
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(Street)
GAITHERSBURG, MD 20878
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (Right to Buy) | (1)(2) | 6/16/2026 | Common Stock | 9590 | $73.69 | D | |
| Employee Stock Option (Right to Buy) | (1)(3) | 6/16/2026 | Common Stock | 5610 | $8.57 | D | |
| Explanation of Responses: |
| (1) | These options were originally granted pursuant to the Curetis Stock Option Plan 2016, as amended on July 19, 2018, which Plan was assumed by OpGen, Inc. (the "Company") as the Amended and Restated Stock Option Plan on April 1, 2020, upon the closing of the transactions contemplated by that certain Implementation Agreement, dated September 4, 2019, by and among the Company, Curetis N.V. and Crystal GmhH, and the stock options converted into options to acquire common stock of OpGen. |
| (2) | This option was originally granted on July 1, 2016 and vested over a period of three (3) years with the first third (1/3) vesting on the first anniversary of the date of grant and the remaining two thirds (2/3) vesting in monthly increments over the following twenty-four (24) months. |
| (3) | This option was originally granted on July 1, 2019 and vests over a period of three (3) years with the first third (1/3) vesting on the first anniversary of the date of grant and the remaining two thirds (2/3) vesting in monthly increments over the following twenty-four (24) months. |
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Schacht Oliver
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD
SUITE 205
GAITHERSBURG, MD 20878 | X |
| Chief Executive Officer |
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Signatures
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| /s/ Oliver Schacht, Ph.D. | | 4/10/2020 |
| **Signature of Reporting Person | Date |
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