| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/01/2020 | 3. Issuer Name and Ticker or Trading Symbol OPGEN INC [ OPGN,OPGNW ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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 Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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) | 06/16/2026 | Common Stock | 9,590 | 73.69 | D | |
| Employee Stock Option (Right to Buy) | (1)(3) | 06/16/2026 | Common Stock | 3,836 | 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 |
| /s/ Johannes Bacher | 04/10/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
