William Snider - Jun 22, 2021 Form 4 Insider Report for Codex DNA, Inc. (TBIO)

Signature
/s/ Jennifer McNealey, as Attorney-in-Fact
Stock symbol
TBIO
Transactions as of
Jun 22, 2021
Transactions value $
$0
Form type
4
Date filed
6/23/2021, 04:06 PM
Previous filing
Jun 17, 2021
Next filing
Jun 13, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TBIO Common Stock Conversion of derivative security $0 +1.32M +131.9% $0.00 2.32M Jun 22, 2021 See footnote F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TBIO Series Z Preferred Stock Conversion of derivative security $0 -500K -100% $0.00* 0 Jun 22, 2021 Common Stock 500K See footnote F1, F2
transaction TBIO Series A Preferred Stock Conversion of derivative security $0 -542K -100% $0.00* 0 Jun 22, 2021 Common Stock 542K See footnote F1, F2
transaction TBIO Series A-1 Preferred Stock Conversion of derivative security $0 -277K -100% $0.00* 0 Jun 22, 2021 Common Stock 277K See footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series Z Preferred Stock, Series A Preferred Stock and Series A-1 Preferred Stock (collectively, the "Preferred Stock"), par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The right to convert the Preferred Stock into Common Stock had no expiration date.
F2 Shares held of record by BroadOak Fund IV, LLC. BroadOak Asset Management, LLC is the manager and general partner of BroadOak Fund IV, LLC, and BroadOak Capital Partners, LLC is the managing member of BroadOak Asset Management, LLC. William F. Snider is a partner and manager of BroadOak Capital Partners, LLC. Each of Mr. Snider and BroadOak Capital Partners, LLC may be deemed to have voting and dispositive power over the shares held by BroadOak Fund IV, LLC, and each disclaims beneficial ownership of such shares except to the extent of his/its indirect pecuniary interest therein, if any.