William Snider - Jun 17, 2021 Form 3 Insider Report for Codex DNA, Inc. (TBIO)

Role
Director, 10%+ Owner
Signature
/s/ Jennifer McNealey, as Attorney-in-Fact
Stock symbol
TBIO
Transactions as of
Jun 17, 2021
Transactions value $
$0
Form type
3
Date filed
6/17/2021, 11:03 AM
Next filing
Jun 23, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding TBIO Common Stock 1M Jun 17, 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 Series Z Preferred Stock Jun 17, 2021 Common Stock 500K See footnote F1, F2
holding TBIO Series A Preferred Stock Jun 17, 2021 Common Stock 542K See footnote F1, F2
holding TBIO Series A-1 Preferred Stock Jun 17, 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 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.
F2 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