BroadOak Fund IV, LLC - 22 Jun 2021 Form 4 Insider Report for Codex DNA, Inc. (TBIO)

Role: 10%+ Owner
Signature: /s/ Jennifer McNealey, as Attorney-in-Fact
Issuer symbol: TBIO
Transactions as of: 22 Jun 2021
Net transactions value: $0
Form type: 4
Filing time: 23 Jun 2021, 16:05:22 UTC
Previous filing: 17 Jun 2021
Next filing: 07 Jun 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TBIO	Common Stock	Conversion of derivative security	$0	+1,319,045	+132%	$0.000000	2,319,045	22 Jun 2021	Direct	F1

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

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Date	Underlying Class	Amount	Ownership	Footnotes
transaction	TBIO	Series Z Preferred Stock	Conversion of derivative security	$0	-500,000	-100%	$0.000000^*	22 Jun 2021	Common Stock	500,000	Direct	F1
transaction	TBIO	Series A Preferred Stock	Conversion of derivative security	$0	-541,677	-100%	$0.000000^*	22 Jun 2021	Common Stock	541,677	Direct	F1
transaction	TBIO	Series A-1 Preferred Stock	Conversion of derivative security	$0	-277,368	-100%	$0.000000^*	22 Jun 2021	Common Stock	277,368	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

BroadOak Fund IV, LLC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id	Content
F1	Each share of Series Z Preferred Stock, Series A Preferred Stock and Series A-1 Preferred Stock (collectively, the "Preferred Stock"), par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The right to convert the Preferred Stock into Common Stock had no expiration date.

Content

Each share of Series Z Preferred Stock, Series A Preferred Stock and Series A-1 Preferred Stock (collectively, the "Preferred Stock"), par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The right to convert the Preferred Stock into Common Stock had no expiration date.