William Snider - Jun 9, 2022 Form 4 Insider Report for Codex DNA, Inc. (TBIO)

Signature
/s/ Jennifer McNealey, as Attorney-in-Fact
Stock symbol
TBIO
Transactions as of
Jun 9, 2022
Transactions value $
$0
Form type
4
Date filed
6/13/2022, 06:09 PM
Previous filing
Jun 23, 2021
Next filing
Jun 7, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TBIO Common Stock Award $0 +20.6K $0.00 20.6K Jun 9, 2022 Direct F1
holding TBIO Common Stock 2.32M Jun 9, 2022 See footnote 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 Stock Option (right to buy) Award $0 +30.9K $0.00 30.9K Jun 9, 2022 Common Stock 30.9K $3.49 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Codex DNA, Inc.'s (the "Issuer") Common Stock. Subject to the Reporting Person's continuing as a Service Provider (as defined in the Issuer's 2021 Sock Incentive Plan) through each such date, one hundred percent (100%) of the RSUs shall vest on the earlier of (i) the one-year anniversary of the Grant Date or (ii) the day prior to the date of the annual meeting of the Issuer's shareholders next following the Grant Date. "Grant Date" shall mean June 9, 2022.
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.
F3 Subject to the Reporting Person's continuing as a Service Provider (as defined in the Issuer's 2021 Sock Incentive Plan) through each such date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the Grant Date or (ii) the day prior to the date of the annual meeting of the Issuer's shareholders next following the Grant Date. "Grant Date" shall mean June 9, 2022.