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

Role: 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, 11:03:50 UTC
Next filing: 23 Jun 2021
SEC: View on sec.gov

Quoteable Key Fact

"William Snider filed Form 3 for Codex DNA, Inc. (TBIO) on 17 Jun 2021."

Quick Takeaways

This page summarizes William Snider's Form 3 filing for Codex DNA, Inc. (TBIO).
0 reported transactions and 3 derivative rows are listed below.
Filing timestamp: 17 Jun 2021, 11:03.

What Changed

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: $0.

Why This Matters

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Official SEC Source

Ownership activity is grounded in SEC Form 3 disclosures.

See Original Filing

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	TBIO	Common Stock						1,000,000	17 Jun 2021	See footnote	F1

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

Type	Sym	Class	Date	Underlying Class	Amount	Ownership	Footnotes
holding	TBIO	Series Z Preferred Stock	17 Jun 2021	Common Stock	500,000	See footnote	F1, F2
holding	TBIO	Series A Preferred Stock	17 Jun 2021	Common Stock	541,677	See footnote	F1, F2
holding	TBIO	Series A-1 Preferred Stock	17 Jun 2021	Common Stock	277,368	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.

Content

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.

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