Form 4 for DNA Ginkgo Bioworks Holdings, Inc.
Accepted 2023-05-04 00:00:00 ET · period of report 2023-05-01 · accession 0001127602-23-014600 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-05-04 | 2023-05-01 | DNA | Fallon Marie E. | See remarks | M - OptEx | — | +17.7K | 187.0K | +10% | — |
| D | 2023-05-04 | 2023-05-02 | DNA | Fallon Marie E. | See remarks | S - Sale+OE | $1.15 | -8,073 | 183.0K | -4% | -$9,284 |
| DM | 2023-05-04 | 2023-05-01 | DNA | Fallon Marie E. | See remarks | M - OptEx | — | -17.7K | 172.5K | -9% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-05-01 | M | A | 307 | — | 191,083 | D | — | — | (F3) Shares of the Class B Common Stock may be converted into shares of Class A Common Stock, on a one-to-one basis, at the option of the holder at any time and have no expiration date. |
| 2 | Common | Class A Common Stock | 2023-05-01 | M | A | 3,750 | — | 190,776 | D | — | — | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. |
| 3 | Common | Class A Common Stock | 2023-05-01 | M | A | 13,683 | — | 187,026 | D | — | — | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. |
| 4 | Common | Class A Common Stock | 2023-05-02 | S | D | 8,073 | $1.15 | 183,010 | D | — | — | |
| 5 | Derivative | Restricted Stock Units | 2023-05-01 | M | D | 13,683 | — | 357,645 | D | — · — to — | 13,683 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. |
| 6 | Derivative | Class B Common Stock | 2023-05-01 | M | D | 307 | — | 50,612 | D | — · — to — | 307 Class A Common Stock | (F6) Includes shares of Class B Common Stock that are subject to vesting conditions. (F3) Shares of the Class B Common Stock may be converted into shares of Class A Common Stock, on a one-to-one basis, at the option of the holder at any time and have no expiration date. |
| 7 | Derivative | Restricted Stock Units | 2023-05-01 | M | D | 3,750 | — | 172,500 | D | — · — to — | 3,750 Class A Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. (F5) The RSUs vest in 48 equal monthly installments, which began on April 1, 2023. |