Dmytruk Mark E.'s Form 4 filing
Ginkgo Bioworks Holdings, Inc. (DNA) · filed Apr 5, 2023
- Accession no.
- 0001127602-23-012623
- Filed
- Apr 5, 2023
- Trade date
- Mar 31-Apr 3, 2023
- Filing delay
- 5 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $49.3K. It was filed 5 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 31, 2023 | Class A Common Stock | MOption exerciseAcquired | +65,284 | –F1 | – | 596,020 | Direct | |
| Mar 31, 2023 | Class A Common Stock | MOption exerciseAcquired | +18,125 | –F2 | – | 614,145 | Direct | |
| Apr 3, 2023 | Class A Common Stock | SSaleDisposed | −38,787 | $1.27 | −$49,259.49 | 575,358 | 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.
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 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 with respect to 65,284 of the RSUs was satisfied on April 1, 2023, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each such RSU. 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
Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
Remarks
Chief Financial Officer