Todd Robert Nelson - 17 Jun 2021 Form 3 Insider Report for Codex DNA, Inc. (TBIO)

Role
President & CEO, Director, 10%+ Owner
Signature
/s/ Jennifer McNealey, as Attorney-in-Fact
Issuer symbol
TBIO
Transactions as of
17 Jun 2021
Net transactions value
$0
Form type
3
Filing time
17 Jun 2021, 10:56:47 UTC
Next filing
23 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding TBIO Common Stock 4,000,000 17 Jun 2021 See footnote F1

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 Stock Option (right to buy) 17 Jun 2021 Common Stock 701,000 $5.94 Direct F2
holding TBIO Series A Preferred Stock 17 Jun 2021 Common Stock 90,747 Direct F3
holding TBIO Series Z Preferred Stock 17 Jun 2021 Common Stock 2,000,000 See footnote F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held of record by GATTACA Mining LLC ("GATTACA") . The Reporting Person is the managing member of GATTACA and may be deemed to have voting and dispositive power over the shares held by GATTACA.
F2 Option granted under the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"). Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2021 Plan) through each applicable vesting date, twenty-five percent (25%) of the shares subject to the option shall vest on the one (1) year anniversary of the Vesting Commencement Date, and one thirty-sixth (1/36th) of the remaining Shares subject to the Option shall vest in equal monthly installments on the same day of the month as the Vesting Commencement Date. "Vesting Commencement Date" shall mean April 21, 2021.
F3 All shares of the preferred stock, par value $0.0001 per share, of the Issuer will automatically be converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock.

Remarks:

Exhibit 24 Power of Attorney