Statement of Changes in Beneficial Ownership (4)
July 22 2022 - 4:39PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
TUMOLO ANNETTE |
2. Issuer Name and Ticker or Trading Symbol
Codex DNA, Inc.
[
DNAY
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O CODEX DNA, INC., 9535 WAPLES STREET, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/20/2022 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 7/20/2022 | | A | | 74611 (1) | A | $0.00 | 74611 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $1.93 | 7/20/2022 | | A | | 111917 | | (2) | 7/20/2032 | Common Stock | 111917 | $0.00 | 111917 | D | |
Explanation of Responses: |
(1) | These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Codex DNA, Inc.'s (the "Issuer") Common Stock. Subject to the Reporting Person's continuing as a Service Provider (as defined in the Issuer's 2021 Sock Incentive Plan) through each such date, one third (1/3rd) of the RSUs shall vest annually following the Grant Date on the same day of the month as the Grant Date over three (3) years. "Grant Date" shall mean July 20, 2022. |
(2) | Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Stock Incentive Plan) through each applicable vesting date, one thirty-sixth (1/36th) of the Shares subject to the Option shall vest in equal monthly installments following the Grant Date on the same day of the month as the Grant Date. "Grant Date" shall mean July 20, 2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TUMOLO ANNETTE C/O CODEX DNA, INC. 9535 WAPLES STREET, SUITE 100 SAN DIEGO, CA 92121 | X |
|
|
|
Signatures
|
/s/ Rob Cutler, as Attorney-in-Fact | | 7/22/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Codex DNA (NASDAQ:DNAY)
Historical Stock Chart
From Jul 2024 to Aug 2024
Codex DNA (NASDAQ:DNAY)
Historical Stock Chart
From Aug 2023 to Aug 2024