Northpond Ventures GP, LLC - Jun 17, 2021 Form 3 Insider Report for Codex DNA, Inc. (TBIO)

Role
10%+ Owner
Signature
Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations
Stock symbol
TBIO
Transactions as of
Jun 17, 2021
Transactions value $
$0
Form type
3
Date filed
6/17/2021, 04:47 PM
Next filing
Jun 24, 2021

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
holding TBIO Series A Preferred Stock Jun 17, 2021 Common Stock 5,241,851 By: Northpond Ventures, LP F1, F3
holding TBIO Series A-1 Preferred Stock Jun 17, 2021 Common Stock 4,160,529 By: Northpond Ventures, LP F2, F3

Explanation of Responses:

Id Content
F1 All shares of Class A Preferred Stock, par value $0.0001 per share (the "Class A Preferred Stock"), of Codex DNA, Inc. (the "Issuer") will automatically convert on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock. The Class A Preferred Stock has no expiration date.
F2 All shares of Class A-1 Preferred Stock, par value $0.0001 per share (the "Class A-1 Preferred Stock"), of the "Issuer will automatically convert on a one-for-one basis into shares of the Issuer's Common Stock prior to the closing of the Issuer's initial public offering of its Common Stock. The Class A-1 Preferred Stock has no expiration date.
F3 Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.