Dmytruk Mark E.'s Form 4 filing
Ginkgo Bioworks Holdings, Inc. (DNA) · filed Nov 6, 2023
- Accession no.
- 0001127602-23-026863
- Filed
- Nov 6, 2023
- Trade date
- Nov 1-2, 2023
- Filing delay
- 5 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $55.8K. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2023 | Class A Common Stock | MOption exerciseAcquired | +65,282 | –F1 | – | 651,675 | Direct | |
| Nov 1, 2023 | Class A Common Stock | MOption exerciseAcquired | +18,125 | –F1 | – | 669,800 | Direct | |
| Nov 1, 2023 | Class A Common Stock | MOption exerciseAcquired | +1,635 | –F3 | – | 671,435 | Direct | |
| Nov 2, 2023 | Class A Common Stock | SSaleDisposed | −37,229 | $1.50 | −$55,843.5 | 634,206 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −65,282 | –F1 | – | 1,039,348 | Direct | |
| Nov 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −18,125 | –F1 | – | 725,000 | Direct | |
| Nov 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −1,635 | –F6 | – | 636,865 | 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
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.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- 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.
Referenced by the price of 1 transaction in Table I.
- F6
Includes shares of Class B Common Stock that are subject to vesting conditions.
Referenced by the price of 1 transaction in Table II.
Remarks
Chief Financial Officer