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OPGEN INC
Date Filed :
Aug 28, 2024
View Exhibits
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
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response:
0.5
1. Name and Address of Reporting Person
*
AEI Capital Ltd
(Last)
(First)
(Middle)
PO BOX 4342 ROAD TOWN
(Street)
TORTOLA
D8
00000
(City)
(State)
(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/30/2024
3. Issuer Name
and
Ticker or Trading Symbol
OPGEN INC
[
OPGN
]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
X
10% Owner
Officer (give title below)
Other (specify below)
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
6,566,494
I
See footnote
(1)
(2)
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
Series E Convertible Preferred Stock
07/30/2024
(4)
(3)
Common Stock
263,961
(4)
I
(1)
See footnote
(1)
Explanation of Responses:
1. The securities are held of record by AEI Capital Ltd (the "Reporting Person"), a wholly owned subsidiary of AEI Capital Group Sdn. Bhd. John Tan Honjian, a director and CEO of AEI Capital Ltd, owns 80% of AEI Capital Group Sdn. Bhd. Mr. Tan shares beneficial ownership of the securities held of record by AEI Capital Ltd.
2. On July 30, 2024, the "Reporting Person" entered into a securities purchase agreement with David Lazar, a third party, under which the Reporting Person agreed to purchase (i) 550,000 shares of Series E Convertible Preferred Stock (the "Series E Preferred Stock") of OpGen, Inc. (the "Company") and (ii) the rights to acquire an additional 2,450,000 shares of Series E Preferred Stock for $2,550,000 from Mr. Lazar. Between July 31 and August 16, 2024, the Reporting Person exercised its rights and acquired an additional 2,186,039 shares of the Series E Preferred Stock and converted the entire 2,736,039 shares of the Series E Preferred Stock into 6,566,494 shares of Common Stock for an aggregate conversion price of $2,736,039. The Reporting Person remains the owner of 263,961 shares of Series E stock, which can convert into 633,506 shares of common stock.
3. The Series E Preferred Stock is perpetual and has no expiration date.
4. The Series E Preferred Stock shares are convertible at the option of the Reporting Person for no additional consideration.
AEI Capital Ltd, By: /s/ John Tan Honjian, Director and CEO
08/27/2024
AEI Capital Group Sdn. Bhd., By: /s/ John Tan Honjian, Director and CEO
08/27/2024
John Tan Honjian, By:/s/ John Tan Honjian, individual
08/27/2024
** 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.
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