SEC FORM
3
SEC Form 3
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD |
SUITE 205 |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/01/2020
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3. Issuer Name and Ticker or Trading Symbol
OPGEN INC
[ OPGN,OPGNW ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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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)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Nonqualified Stock Option (Right to Buy) |
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06/16/2026 |
Common Stock |
1,439 |
56.38 |
D |
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Nonqualified Stock Option (Right to Buy) |
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06/16/2026 |
Common Stock |
959 |
52.78 |
D |
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Nonqualified Stock Option (Right to Buy) |
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06/16/2026 |
Common Stock |
959 |
8.57 |
D |
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Explanation of Responses: |
Remarks: |
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/s/ Mario Crovetto |
04/10/2020 |
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** 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. |
Exhibit 24
POWER
OF ATTORNEY
Know all by these presents,
that the undersigned hereby constitutes and appoints Timothy C. Dec and Matthew Jones, the undersigned’s true and lawful
attorneys-in-fact to:
| (1) | prepare
and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form
ID, including amendments thereto, and any other documents necessary or appropriate to
obtain codes, passwords, and passphrases enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities Exchange
Act of 1934 or any rule or regulation of the SEC; |
| (2) | execute
for and on behalf of the undersigned, in the undersigned’s capacity as an officer
and/or director of OpGen, Inc. (the “Company”), Forms 3, 4, and 5 in accordance
with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; |
| (3) | execute
for and on behalf of the undersigned, in connection with proposed sales by the undersigned
pursuant to Rule 144 under the Securities Act of 1933 of securities issued by the Company,
notices on Form 144 in accordance with Rule 144 under the Securities Act of 1933; |
| (4) | do
and perform any and all acts for and on behalf of the undersigned which may be necessary
or desirable to complete and execute any such Form 3, 4, 5, or Form 144, complete and
execute any amendment or amendments thereto, and timely file such form with the SEC and
any securities exchange or similar authority; and |
| (5) | take
any other action of any type whatsoever in connection with the foregoing which, in the
opinion of such attorney in fact, may be of benefit to, in the best interest of, or legally
required by, the undersigned, it being understood that the documents executed by such
attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall
be in such form and shall contain such terms and conditions as such attorney in fact
may approve in such attorney in fact’s discretion. |
The undersigned hereby grants
to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming
all that such attorney in fact, or such attorney in fact’s substitute or substitutes, shall lawfully do or cause to be done
by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing
attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming,
any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 or Rule 144 under
the Securities Act of 1933.
This Power of Attorney shall
remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, 5, and Forms 144 with respect
to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned
in a signed writing delivered to the foregoing attorneys in fact.
IN WITNESS WHEREOF, the undersigned
has caused this Power of Attorney to be executed as of this 10th day of April, 2020.
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/s/ Mario Crovetto |
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Mario Crovetto |