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Filing Details

Accession Number:: 0000899243-21-025745
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-06-24 16:34:18
Reporting Period:: 2021-06-22

Accepted Time:: 2021-06-24 16:34:18
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1850079	Codex Dna Inc.	DNAY	Laboratory Analytical Instruments (3826)	451216839

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1867470	Northpond Ventures Gp, Llc	7500 Old Georgetown Road, Suite 850 Bethesda MD 20814	No	No	Yes	No
1867472	Northpond Ventures, Lp	7500 Old Georgetown Road, Suite 850 Bethesda MD 20814	No	No	Yes	No
1867627	P. Michael Rubin	7500 Old Georgetown Road, Suite 850 Bethesda MD 20814	No	No	Yes	No
1869114	Northpond Ventures Gp Ii, Llc	7500 Old Georgetown Road, Suite 850 Bethesda MD 20814	No	No	Yes	No
1869128	Northpond Ventures Ii, Lp	7500 Old Georgetown Road, Suite 850 Bethesda MD 20814	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-06-22	9,375,380	$0.00	9,375,380	No	4	C	Indirect	By: Northpond Ventures, LP
Common Stock	Acquisiton	2021-06-22	468,750	$16.00	9,844,130	No	4	P	Indirect	By: Northpond Ventures II, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By: Northpond Ventures, LP
No	4	P	Indirect	By: Northpond Ventures II, LP

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2021-06-22	5,214,851	$0.00	5,241,851	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-06-22	4,160,529	$0.00	4,160,529	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Footnotes

Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date.
Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.