Barry Canton - Sep 16, 2021 Form 3 Insider Report for Ginkgo Bioworks Holdings, Inc. (DNA)

Role
10%+ Owner
Signature
/s/ Karen Tepichin, Attorney-in-fact
Stock symbol
DNA
Transactions as of
Sep 16, 2021
Transactions value $
$0
Form type
3
Date filed
9/20/2021, 09:36 PM
Next filing
Oct 4, 2022
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 3.09M Direct F1, F2
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 3.09M By Spouse F1, F2
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 70.4M By Reshma Padmini Shetty Living Trust F1, F3
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 8.25M By Reshma Padmini Shetty GRAT F1, F4
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 70.4M By Bartholomew Canton Living Trust F1, F5
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 8.25M By Bartholomew Canton GRAT F1, F6
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 1.29M By The Asha S. Canton Irrevocable Trust F1, F7
holding DNA Class B Common Stock Sep 16, 2021 Class A Common Stock 1.29M By The Adhira S. Canton Irrevocable Trust F1, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Reflects earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F3 Includes 7,541,578 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F4 Includes 883,423 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F5 Includes 7,541,578 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F6 Includes 883,423 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F7 Includes 138,403 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.
F8 Includes 138,403 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.

Remarks:

Exhibit 24 - Power of Attorney.