# EDGAR Filing Document

**Accession Number:** 0001293818
**File Stem:** 0001079973-23-000288
**Filing Date:** 2023-3
**Character Count:** 7569
**Document Hash:** 1ad3a7665bf5ac63cf1d8ffc88417e9a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001079973-23-000288.hdr.sgml**: 20230306

**ACCESSION NUMBER**: 0001079973-23-000288

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230302

**FILED AS OF DATE**: 20230306

**DATE AS OF CHANGE**: 20230306

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Bacher Johannes
- **CENTRAL INDEX KEY:** 0001808765

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37367
- **FILM NUMBER:** 23709898

**MAIL ADDRESS:**
- **STREET 1:** 9717 KEY WEST AVENUE
- **STREET 2:** SUITE 101
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OPGEN INC
- **CENTRAL INDEX KEY:** 0001293818
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **IRS NUMBER:** 061614015
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 9717 KEY WEST AVENUE
- **STREET 2:** SUITE 100
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
- **BUSINESS PHONE:** 301-869-9683

**MAIL ADDRESS:**
- **STREET 1:** 9717 KEY WEST AVENUE
- **STREET 2:** SUITE 100
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Bacher Johannes<br><sub>(Last) (First) (Middle)</sub><br>C/O OPGEN, INC. 9717 KEY WEST AVE.<br>SUITE 100<br><sub>(Street)</sub><br>ROCKVILLE, MD 20850<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-02 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Operating Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>OPGEN INC [ OPGN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-02 |  | M |  | 1125 | A | $0.00 | 5187 | D |  |
| Common Stock | 2023-03-03 |  | M |  | 1063 | A | $0.00 | 6250 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-03 |  | M |  |  | 1063 | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 1063 | $0.00 | 1063 | D |  |
| Restricted Stock Units | <sup>(3)</sup> | 2023-03-02 |  | M |  |  | 1125 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 1125 | $0.00 | 1125 | D |  |
| Restricted Stock Units | <sup>(5)</sup> | 2023-03-02 |  | A |  | 10000 |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 10000 | $0.00 | 10000 | D |  |

---

### Footnotes:

(1) Represents vesting of restricted stock units ("RSUs") granted in March 2021 that convert into common stock on a one-for-one basis as adjusted for a 1-for-20 reverse stock split.

(2) On March 3, 2021, the Reporting Person was granted 2,125 RSUs (as adjusted for a 1-for-20 reverse stock split). The RSUs were granted subject to forfeiture, which forfeiture restrictions will lapse as to one half of the award on the first and second anniversaries of the date of grant, subject to acceleration as set forth in the Reporting Person's employment agreement with the Registrant.

(3) Represents vesting of restricted stock units ("RSUs") granted in March 2022 that convert into common stock on a one-for-one basis as adjusted for a 1-for-20 reverse stock split.

(4) On March 2, 2022, the Reporting Person was granted 2,250 RSUs (as adjusted for a 1-for-20 reverse stock split). The RSUs were granted subject to forfeiture, which forfeiture restrictions will lapse as to one half of the award on the first and second anniversaries of the date of grant, subject to acceleration as set forth in the Reporting Person's employment agreement with the Registrant.

(5) Each RSU represents a contingent right to receive one share of OpGen common stock.

(6) RSUs granted on March 2, 2023 pursuant to the OpGen 2015 Equity Incentive Plan. The RSUs have a two year vesting schedule, vesting annually in equal installments on the anniversary of March 2, 2023.

**Remarks:**
All share numbers reported on this Form 4 reflect a 1-for-20 reverse stock split of OpGen's common stock effected on January 5, 2023.

**Signature:** /s/ Johannes Bacher  
**Date:** 2023-03-06

### Remarks:

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 4 (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.**