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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1. Name and Address of Reporting Person*
Sapiro Vadim M.

(Last) (First) (Middle)
C/O OPGEN, INC. 708 QUINCE ORCHARD ROAD
SUITE 205

(Street)
GAITHERSBURG MD 20878

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/09/2017
3. Issuer Name and Ticker or Trading Symbol
OPGEN INC [ OPGEN,OPGN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Information Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock 40,115 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Stock Options 03/23/2012 03/23/2022 Common Stock 64 $7.91 D
Stock Options 03/23/2015 03/23/2022 Common Stock 918 $7.91 D
Stock Options 02/12/2017 02/12/2023 Common Stock 253 $7.91 D
Stock Options 02/12/2014 02/12/2023 Common Stock 127 $7.91 D
Stock Options 07/25/2017 02/25/2023 Common Stock 633 $7.91 D
Stock Options (1) 04/24/2024 Common Stock 3,589 $0.05 D
Stock Options (2) 10/23/2024 Common Stock 50,000 $0.61 D
Stock Options 05/04/2016 05/04/2025 Common Stock 25,000 $6 D
Stock Options (2) 06/13/2026 Common Stock 40,000 $1.55 D
Stock Options (3) 02/23/2027 Common Stock 55,000 $1.03 D
Stock Options 08/09/2018 08/09/2027 Common Stock 60,000 $0.295 D
Warrants 05/19/2016 05/19/2021 Common Stock 9,837 $1.31 D
Warrants 07/18/2017 07/18/2022 Common Stock 25,000 $0.425 D
Restricted Stock Units (4) (4) Common Stock 35,000 $0.00 D
Explanation of Responses:
1. Vests 25% on December 31, 2014 and 6.25% quarterly thereafter in equal proportions over a three-year period.
2. Vests 25% on first anniversary of the Date of Grant and 6.25% at the end of each quarterly period thereafter starting with the first full calendar quarter, in equal proportions, over a three-year period with the full remaining amount vesting four years from the Date of Grant.
3. Vests 25% on first anniversary of the Date of Grant and 6.25% quarterly thereafter on the first business day of each quarter for a period of three years.
4. The restricted stock units vest upon the successful launch of OpGen, Inc's cUTI RUO mAST.
/s/ Vadim M. Sapiro 11/17/2017
** 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.