William Snider - Jun 22, 2021 Form 4 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 22, 2021
Transactions value $: $0
Form type: 4
Date filed: 6/23/2021, 04:06 PM
Previous filing: Jun 17, 2021
Next filing: Jun 13, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TBIO	Common Stock	Conversion of derivative security	$0	+1.32M	+131.9%	$0.00	2.32M	Jun 22, 2021	See footnote	F1, F2

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	-500K	-100%	$0.00^*	Jun 22, 2021	Common Stock	500K	See footnote	F1, F2
transaction	TBIO	Series A Preferred Stock	Conversion of derivative security	$0	-542K	-100%	$0.00^*	Jun 22, 2021	Common Stock	542K	See footnote	F1, F2
transaction	TBIO	Series A-1 Preferred Stock	Conversion of derivative security	$0	-277K	-100%	$0.00^*	Jun 22, 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	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.
F2	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.

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.

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.