Filing Details
- Accession Number:
- 0001127602-23-001108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-06 18:27:34
- Reporting Period:
- 2023-01-03
- Accepted Time:
- 2023-01-06 18:27:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1830214 | Ginkgo Bioworks Holdings Inc. | DNA | Biological Products, (No Disgnostic Substances) (2836) | 872652913 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1883686 | E. Marie Fallon | C/O Ginkgo Bioworks Holdings, Inc. 27 Drydock Avenue Boston MA 02210 | See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2023-01-03 | 15,350 | $0.00 | 157,743 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2023-01-03 | 307 | $0.00 | 158,050 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2023-01-04 | 7,900 | $1.56 | 150,150 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Units | Disposition | 2023-01-03 | 15,350 | $0.00 | 15,350 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2023-01-03 | 307 | $0.00 | 307 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 412,379 | No | 4 | M | Direct | ||
| 51,839 | No | 4 | M | Direct |
Footnotes
- 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 15,350 of the RSUs was satisfied on January 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.
- Represents the conversion of shares of Class B Common Stock to shares of Class A Common Stock.
- 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.
- 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 obligations be funded by a "sell to cover" transaction.
- Includes shares of Class B Common Stock that are subject to vesting conditions.
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