Snider William 4
4 · Codex DNA, Inc. · Filed Jun 23, 2021
Insider Transaction Report
Form 4
Codex DNA, Inc.DNAY
Snider William
Director10% Owner
Transactions
- Conversion
Common Stock
2021-06-22+1,319,045→ 2,319,045 total(indirect: See footnote) - Conversion
Series A Preferred Stock
2021-06-22−541,677→ 0 total(indirect: See footnote)→ Common Stock (541,677 underlying) - Conversion
Series Z Preferred Stock
2021-06-22−500,000→ 0 total(indirect: See footnote)→ Common Stock (500,000 underlying) - Conversion
Series A-1 Preferred Stock
2021-06-22−277,368→ 0 total(indirect: See footnote)→ Common Stock (277,368 underlying)
Footnotes (2)
- [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.