Initial Statement of Beneficial Ownership (3)
September 24 2021 - 04:25PM
Edgar (US Regulatory)
|
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0104
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 * CASCADE
INVESTMENT, L.L.C. |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
9/16/2021
|
3. Issuer Name and Ticker or Trading
Symbol Ginkgo Bioworks Holdings, Inc. [DNA] |
|
(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)
|
|
(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 |
Table I - Non-Derivative Securities Beneficially
Owned
|
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)
|
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
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
CASCADE INVESTMENT, L.L.C.
2365 CARILLON POINT
KIRKLAND, WA 98033 |
|
X |
|
|
GATES WILLIAM H III
2365 CARILLON POINT
KIRKLAND, WA 98033 |
|
X |
|
|
Signatures
|
|
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 |
Ginkgo Bioworks (NYSE:DNA)
Historical Stock Chart
From Apr 2022 to May 2022
Ginkgo Bioworks (NYSE:DNA)
Historical Stock Chart
From May 2021 to May 2022
