Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ginkgo Bioworks Holdings, Inc.DNA · Entity 5530 | See remarks | May 01, 2023 | May 05, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ginkgo Bioworks Holdings, Inc.
Report date May 01, 2023 · Filed May 05, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 183,010 |
Ending reported balance
After 2023-05-02 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2023-05-01 · Exercise / conversion · Acquired 13,683 · Balance 187,026 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. Row 2 · 2023-05-01 · Exercise / conversion · Acquired 3,750 · Balance 190,776 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. Row 3 · 2023-05-01 · Exercise / conversion · Acquired 307 · Balance 191,083 F2: Represents the conversion of shares of Class B Common Stock to shares of Class A Common Stock. F3: 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. Row 4 · 2023-05-02 · Sale · Disposed 8,073 · Balance 183,010 F4: 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 357,645 |
Reported balance
After 2023-05-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-05-01 · Exercise / conversion · Disposed 13,683 · Balance 357,645 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 172,500 |
Reported balance
After 2023-05-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-05-01 · Exercise / conversion · Disposed 3,750 · Balance 172,500 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person. F5: The RSUs vest in 48 equal monthly installments, which began on April 1, 2023. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 50,612 |
Reported balance
After 2023-05-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-05-01 · Exercise / conversion · Disposed 307 · Balance 50,612 F3: 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: Represents the conversion of shares of Class B Common Stock to shares of Class A Common Stock. F6: Includes shares of Class B Common Stock that are subject to vesting conditions. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. Such shares of Class A Common Stock may be exchanged for shares of Class B Common Stock at the option of the Reporting Person.
F2: Represents the conversion of shares of Class B Common Stock to shares of Class A Common Stock.
F3: 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.
F4: 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.
F5: The RSUs vest in 48 equal monthly installments, which began on April 1, 2023.
F6: Includes shares of Class B Common Stock that are subject to vesting conditions.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2022 Filed Mar 15, 2022 01:32 UTC | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | GrantClass B Common Stock · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-010984 · doc4.xml · derivative · entry 1 Fallon Marie E. · CIK 0001883686 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,894 Underlying: Class A Common Stock · 150,000 shares Expires not disclosed F1 · derivative.exercise_price: 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 · derivative.exercise_date: Represents an award of restricted stock units covering Class B Common Stock, which vests in 48 equal monthly installments following the vesting commencement date of March 1, 2022. F2 · derivative.expiration_date: Represents an award of restricted stock units covering Class B Common Stock, which vests in 48 equal monthly installments following the vesting commencement date of March 1, 2022. F3 · balance_after: Includes 40,000 restricted stock units covering Class B Common Stock that were previously reported as Restricted Stock Units on the Form 4 filed by the reporting person on January 26, 2022. The reporting person intends to report such restricted stock units on a consolidated basis with her holdings of the underlying Class B Common Stock in future reports. Read SEC document |
| January 24, 2022 Filed Jan 26, 2022 23:42 UTC | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | GrantRestricted Stock Units · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-003308 · doc4.xml · derivative · entry 1 Fallon Marie E. · CIK 0001883686 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Class B Common Stock · 40,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's Class B Common Stock. F2 · derivative.exercise_date: The RSUs vest as follows: 5% of the underlying shares on January 1, 2023; 12 monthly installments of 0.83% of the underlying shares thereafter; 12 monthly installments of 1.25% of the underlying shares thereafter; 24 monthly installments of 1.67% of the underlying shares thereafter; and 12 monthly installments of 2.5% of the underlying shares thereafter. F2 · derivative.expiration_date: The RSUs vest as follows: 5% of the underlying shares on January 1, 2023; 12 monthly installments of 0.83% of the underlying shares thereafter; 12 monthly installments of 1.25% of the underlying shares thereafter; 24 monthly installments of 1.67% of the underlying shares thereafter; and 12 monthly installments of 2.5% of the underlying shares thereafter. Read SEC document |
| November 17, 2021 Filed Oct 5, 2022 02:05 UTC | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | GrantRestricted Stock Units · Derivative | 490,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-032863 · doc4.xml · derivative · entry 5 Fallon Marie E. · CIK 0001883686 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 680,805 Underlying: Class A Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · shares: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · price: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · derivative.exercise_date: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · derivative.expiration_date: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · derivative.underlying_shares: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F6 · balance_after: Includes restricted stock units that are subject to vesting conditions. Includes 190,000 restricted stock units that were acquired after November 17, 2021. Read SEC document |
| November 17, 2021 Filed Oct 8, 2022 00:19 UTC Amendment | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | GrantRestricted Stock Units · Derivative | 490,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-033325 · doc4a.xml · derivative · entry 5 Fallon Marie E. · CIK 0001883686 · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 680,805 Underlying: Class A Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F3 · shares: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F3 · price: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F3 · derivative.exercise_date: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F3 · derivative.expiration_date: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F3 · derivative.underlying_shares: 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 226,376 of the RSUs was satisfied on October 1, 2022, 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. F6 · balance_after: Includes RSUs that are subject to vesting conditions. Includes 190,000 RSUs that were acquired after November 17, 2021. Read SEC document |
| October 01, 2021 Filed Oct 5, 2022 02:05 UTC | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | Exercise / conversionClass A Common Stock | 490,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-032863 · doc4.xml · nonDerivative · entry 2 Fallon Marie E. · CIK 0001883686 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,939 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. F3 · price: 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 was satisfied on October 1, 2022, and the Issuer elected to deliver one share of Class A Common Stock to the Reporting Person for each 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. Read SEC document |
| September 16, 2021 Filed Sep 21, 2021 01:48 UTC | Ginkgo Bioworks Holdings, Inc. DNA · Entity 5530 | GrantClass B Common Stock · Derivative | 58,894 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-036682 · doc4.xml · derivative · entry 1 Fallon Marie E. · CIK 0001883686 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,894 Underlying: Class A Common Stock · 58,894 shares Expires not disclosed F1 · derivative.exercise_price: 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 · price: Pursuant to the business combination of Soaring Eagle Acquisition Corp. and Ginkgo Bioworks, Inc. ("Legacy Ginkgo"), as contemplated by an agreement and plan of merger, dated May 11, 2021 as amended on May 14, 2021 (the "Merger Agreement"), each share of Class A common stock of Legacy Ginkgo, each share of Class B common stock of Legacy Ginkgo, each option of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, each award of restricted common stock of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, and each award of restricted stock units of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, in each case outstanding immediately prior to the effective time of the business combination, received a proportional amount of the approximately 188.7 million earn-out shares. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F3 · balance_after: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.