4//SEC Filing
Snider William 4
Accession 0001850079-22-000048
CIK 0001850079other
Filed
Jun 12, 8:00 PM ET
Accepted
Jun 13, 6:09 PM ET
Size
9.0 KB
Accession
0001850079-22-000048
Insider Transaction Report
Form 4
Codex DNA, Inc.DNAY
Snider William
Director10% Owner
Transactions
- Award
Common Stock
2022-06-09+20,630→ 20,630 total - Award
Stock Option (right to buy)
2022-06-09+30,945→ 30,945 totalExercise: $3.49Exp: 2032-06-09→ Common Stock (30,945 underlying)
Holdings
- 2,319,045(indirect: See footnote)
Common Stock
Footnotes (3)
- [F1]These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Codex DNA, Inc.'s (the "Issuer") Common Stock. Subject to the Reporting Person's continuing as a Service Provider (as defined in the Issuer's 2021 Sock Incentive Plan) through each such date, one hundred percent (100%) of the RSUs shall vest on the earlier of (i) the one-year anniversary of the Grant Date or (ii) the day prior to the date of the annual meeting of the Issuer's shareholders next following the Grant Date. "Grant Date" shall mean June 9, 2022.
- [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.
- [F3]Subject to the Reporting Person's continuing as a Service Provider (as defined in the Issuer's 2021 Sock Incentive Plan) through each such date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the Grant Date or (ii) the day prior to the date of the annual meeting of the Issuer's shareholders next following the Grant Date. "Grant Date" shall mean June 9, 2022.
Documents
Issuer
Codex DNA, Inc.
CIK 0001850079
Entity typeother
Related Parties
1- filerCIK 0001340831
Filing Metadata
- Form type
- 4
- Filed
- Jun 12, 8:00 PM ET
- Accepted
- Jun 13, 6:09 PM ET
- Size
- 9.0 KB