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

Role: 10%+ Owner
Signature: /s/ Jennifer McNealey, as Attorney-in-Fact
Stock symbol: TBIO
Transactions as of: Jun 22, 2021
Transactions value $: $0
Form type: 4
Date filed: 6/23/2021, 04:05 PM
Previous filing: Jun 17, 2021
Next filing: Jun 7, 2023

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	+131.9%	$0.00	2,319,045	Jun 22, 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%	$0.00	Jun 22, 2021	Common Stock	500,000	Direct	F1
transaction	TBIO	Series A Preferred Stock	-Conversion of derivative security	$0	-541,677	-100%	$0.00	Jun 22, 2021	Common Stock	541,677	Direct	F1
transaction	TBIO	Series A-1 Preferred Stock	-Conversion of derivative security	$0	-277,368	-100%	$0.00	Jun 22, 2021	Common Stock	277,368	Direct	F1

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.