Shetty Reshma P.'s Form 4 filing
Ginkgo Bioworks Holdings, Inc. (DNA) · filed Oct 4, 2022
- Accession no.
- 0000899243-22-032859
- Filed
- Oct 4, 2022, 10:05 PM ET
- Trade date
- Oct 1, 2021-Oct 3, 2022
- Filing delay
- 368 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 6 derivative transactions. Open-market sales total $2.14M. It was filed 368 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Shetty Reshma P.CIK 0001873523 | Director, Officer (See Remarks), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2022 | Class A Common Stock | MOption exerciseAcquired | +773,453 | –F2 | – | 773,453 | Direct | Duplicate filing |
| Sep 30, 2022 | Class A Common Stock | MOption exerciseAcquired | +773,453 | –F2 | – | 773,453 | Indirect | Duplicate filing |
| Oct 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +25,782,354 | –F3 | – | 26,555,807 | Direct | Duplicate filing |
| Oct 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +25,782,354 | –F3 | – | 26,555,807 | Indirect | Duplicate filing |
| Oct 3, 2022 | Class A Common Stock | SSaleDisposed | −343,071 | $3.12 | −$1,070,930.43 | 26,212,736 | Direct | Duplicate filing |
| Oct 3, 2022 | Class A Common Stock | SSaleDisposed | −343,072 | $3.12 | −$1,070,933.56 | 26,212,735 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2022 | Class B Common Stock | MOption exerciseDisposed | −773,453 | –F2 | – | 2,320,344 | Direct | Duplicate filing |
| Sep 30, 2022 | Class B Common Stock | MOption exerciseDisposed | −773,453 | –F2 | – | 2,320,344 | Indirect | Duplicate filing |
| Nov 17, 2021 | Restricted Stock Units | AGrant or awardAcquired | +25,782,354 | –F3 | – | 25,782,354 | Direct | Duplicate filing |
| Nov 17, 2021 | Restricted Stock Units | AGrant or awardAcquired | +25,782,354 | –F3 | – | 25,782,354 | Indirect | Duplicate filing |
| Oct 1, 2022 | Restricted Stock Units | MOption exerciseDisposed | −25,782,354 | –F3 | – | 0 | Direct | Duplicate filing |
| Oct 1, 2022 | Restricted Stock Units | MOption exerciseDisposed | −25,782,354 | –F3 | – | 0 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
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.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- F3
Represents restricted stock units (the "RSUs") granted prior to the business combination of Soaring Eagle Acquisition Corp. and Ginkgo Bioworks, Inc. in September 2021 (the "Merger"), which became contingent rights to acquire equity securities of the Issuer upon consummation of the Merger. At the time of grant, the RSUs were subject to both a service-based vesting condition and a performance-based vesting condition. On November 17, 2021, the board of directors of the Issuer modified the vesting terms of RSUs, such that the Merger was deemed to have satisfied the performance condition for vesting effective as of March 15, 2022. The service-based vesting condition was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock for each RSU. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock.
Referenced by the price of 2 transactions in Table I and 4 transactions in Table II.
Remarks
President, COO & Founder