Dmytruk Mark E.'s Form 4/A amendment
AmendedGinkgo Bioworks Holdings, Inc. (DNA) · filed Nov 7, 2022
- Accession no.
- 0000899243-22-035333
- Filed
- Nov 7, 2022
- Trade date
- Oct 5-6, 2022
- Filing delay
- 33 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 7, 2022
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $907.6K. It was filed 33 days after the trade.
This amendment replaces 0000899243-22-033322 (filed Oct 7, 2022).
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 |
|---|---|
| Dmytruk Mark E.CIK 0001873507 | Officer (See remarks) |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2022 | Class A Common Stock | MOption exerciseAcquired | +618,242 | –F1 | – | 627,344 | Direct | |
| Oct 6, 2022 | Class A Common Stock | SSaleDisposed | −279,255 | $3.25 | −$907,578.75 | 348,089 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2022 | Restricted Stock Units | MOption exerciseDisposed | −618,242 | –F1 | – | 1,899,021 | Direct |
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.
- F1
Represents the conversion of shares of Restricted Stock Units ("RSUs") to Class A Common Stock. On October 5, 2022, the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for 618,242 vested RSUs. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
Represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Sales to cover tax withholding obligations in connection with the vesting of such securities do not represent discretionary trades by the Reporting Person. The Issuer's equity incentive plans allow the Issuer to require that satisfaction of tax withholding obligation to be funded by a "sell to cover" transaction.
- F3
On March 14, 2022, the Reporting Person filed a Form 4 that reported RSUs on a consolidated basis with holdings of Class B Common Stock. Because the Issuer has the ability to settle such RSUs with shares of Class A Common Stock or cash upon vesting, RSUs will be reported separately from shares of Class B Common Stock in future reports. In addition to the RSUs reported herein, the Reporting Person beneficially owns 658,133 shares of Class B Common Stock, which includes shares of Class B Common Stock that are subject to vesting conditions.
Remarks
Chief Financial Officer This Form 4 amends and restates the Form 4 filed by the Reporting Person on October 7, 2022 to correct an error in Table II.