Initial Statement of Beneficial Ownership (3)
September 24 2021 - 04:25PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CASCADE INVESTMENT, L.L.C. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/16/2021
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3. Issuer Name and Ticker or Trading Symbol
Ginkgo Bioworks Holdings, Inc. [DNA]
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(Last)
(First)
(Middle)
2365 CARILLON POINT |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
KIRKLAND, WA 98033
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 151865481 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Includes 15,949,483 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 List: Exhibit 24.1 - Power of Attorney (Cascade Investment, L.L.C.); Exhibit 24.2 - Power of Attorney (William H. Gates III) |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CASCADE INVESTMENT, L.L.C. 2365 CARILLON POINT KIRKLAND, WA 98033 |
| X |
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GATES WILLIAM H III 2365 CARILLON POINT KIRKLAND, WA 98033 |
| X |
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Signatures
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Cascade Investment, L.L.C. By: /s/ Alan Heuberger, Attorney-in-fact for Michael Larson, Business Manager | | 9/24/2021 |
**Signature of Reporting Person | Date |
William H. Gates III By: /s/ Alan Heuberger, Attorney-in-fact | | 9/24/2021 |
**Signature of Reporting Person | Date |
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