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Clark Daniel Emmett

Disclosed activity across 1 company

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113886
SEC CIK
0001874449

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
GeneDx Holdings Corp.WGS · Entity 1634Former Secretary and GCJuly 01, 2022May 04, 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.

GeneDx Holdings Corp.

Report date July 01, 2022 · Filed May 04, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect312,345 Ending reported balance After 2022-07-05 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2022-07-01 · Exercise / conversion · Acquired 4,005 · Balance 313,552

F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

Row 2 · 2022-07-05 · Sale · Disposed 1,207 · Balance 312,345

F2: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.215 to $1.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Restricted Stock UnitSEC Table II · derivative / convertible securityDirect60,087 Reported balance After 2022-07-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-07-01 · Exercise / conversion · Disposed 4,005 · Balance 60,087

F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F4: 6.25% of the total shares underlying the restricted stock units vest in quarterly installments beginning on July 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.215 to $1.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4: 6.25% of the total shares underlying the restricted stock units vest in quarterly installments beginning on July 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 26, 2022 Filed Jul 27, 2022 18:17 UTC GeneDx Holdings Corp. SMFR · Entity 1634 SaleClass A Common Stock 1,280 $1.47 $1,881.60
Disclosure

SEC source: 0001209191-22-043281 · doc4.xml · nonDerivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,207

F2 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 to $1.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
July 25, 2022 Filed Jul 27, 2022 18:17 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionRestricted Stock Unit · Derivative 3,940 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-043281 · doc4.xml · derivative · entry 3

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,289

Underlying: Class A Common Stock · 3,940 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F4 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F4 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
July 25, 2022 Filed Jul 27, 2022 18:17 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 3,940 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-043281 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,487

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.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

Read SEC document
July 05, 2022 Filed May 4, 2023 20:43 UTC GeneDx Holdings Corp. WGS · Entity 1634 SaleClass A Common Stock 1,207 $1.32 $1,591.67
Disclosure

SEC source: 0001209191-23-027546 · doc4.xml · nonDerivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Former Secretary and GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,345

F2 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.215 to $1.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
July 01, 2022 Filed May 4, 2023 20:43 UTC GeneDx Holdings Corp. WGS · Entity 1634 Exercise / conversionRestricted Stock Unit · Derivative 4,005 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-027546 · doc4.xml · derivative · entry 3

Clark Daniel Emmett · CIK 0001874449 · Former Secretary and GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,087

Underlying: Class A Common Stock · 4,005 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F4 · derivative.exercise_date: 6.25% of the total shares underlying the restricted stock units vest in quarterly installments beginning on July 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F4 · derivative.expiration_date: 6.25% of the total shares underlying the restricted stock units vest in quarterly installments beginning on July 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
July 01, 2022 Filed May 4, 2023 20:43 UTC GeneDx Holdings Corp. WGS · Entity 1634 Exercise / conversionClass A Common Stock 4,005 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-027546 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Former Secretary and GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,552

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.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

Read SEC document
April 28, 2022 Filed May 2, 2022 18:47 UTC GeneDx Holdings Corp. SMFR · Entity 1634 SaleClass A Common Stock 1,212 $2.18 $2,642.64
Disclosure

SEC source: 0001209191-22-026492 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,547

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.18 to $2.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
April 25, 2022 Filed Apr 27, 2022 19:04 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionRestricted Stock Unit · Derivative 3,940 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-025889 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,229

Underlying: Class A Common Stock · 3,940 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F2 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
April 25, 2022 Filed Apr 27, 2022 19:04 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 3,940 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-025889 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,759

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.

F1 · price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

Read SEC document
April 04, 2022 Filed Apr 6, 2022 17:14 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantRestricted Stock Unit · Derivative 64,092 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-023515 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,092

Underlying: Class A Common Stock · 64,092 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F1 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on April 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F1 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on April 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
April 04, 2022 Filed Apr 6, 2022 17:14 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantEmployee Stock Option (Right to Buy) · Derivative 111,271 $0.00 Strike: $3.05 $0.00
Disclosure

SEC source: 0001209191-22-023515 · doc4.xml · derivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,271

Underlying: Class A Common Stock · 111,271 shares

Expires 2032-04-03

F1 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on April 1, 2022 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
January 28, 2022 Filed Feb 2, 2022 21:25 UTC GeneDx Holdings Corp. SMFR · Entity 1634 SaleClass A Common Stock 1,512 $2.84 $4,297.56
Disclosure

SEC source: 0001209191-22-006608 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,819

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.84 to $2.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 20:21 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionRestricted Stock Unit · Derivative 3,940 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-005283 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,139

Underlying: Class A Common Stock · 3,940 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F2 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 20:21 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 3,940 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-005283 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,331

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.

F1 · price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

Read SEC document
January 14, 2022 Filed Jan 19, 2022 19:37 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionEmployee Stock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001209191-22-003867 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 839,504

Underlying: Class A Common Stock · 275,000 shares

Expires 2027-06-19

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.

F1 · derivative.exercise_date: This option is fully vested.

Read SEC document
January 14, 2022 Filed Jan 19, 2022 19:37 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 275,000 $0.15 $42,047.50
Disclosure

SEC source: 0001209191-22-003867 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,391

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.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 19:06 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantRestricted Stock Unit · Derivative 1,199 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069328 · doc4.xml · derivative · entry 3

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,199

Underlying: Class A Common Stock · 1,199 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration, granted pursuant to the terms of that certain Agreement and Plan of Merger, dated as of February 9, 2021 (as amended, the "Merger Agreement"), by and among CM Life Sciences, Inc., S-IV Sub, Inc. and Mount Sinai Genomics, Inc. d/b/a Sema4. In addition, in the event that any similar RSUs are forfeited (for example, as a result of the recipient no longer being an employee of the Issuer), the Merger Agreement provides for the shares underlying such forfeited RSUs to become available for issuance to other RSU recipients. Therefore, each RSU also represents to right to receive additional shares of the Issuer's Class A Common Stock from this "forfeiture pool". The number of shares of the Issuer's Class A Common Stock that may be issued to the Reporting Person pursuant to the "forfeiture pool" is not determinable at this time.

F2 · derivative.exercise_price: [cont'd from footnote 1] Any shares of the Issuer's Class A Common Stock ultimately issued to the Reporting Person in respect of each RSU will be reported in a subsequent filing.

F3 · derivative.exercise_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date.

F3 · derivative.expiration_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 19:06 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantRestricted Stock Unit · Derivative 35,018 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069328 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,018

Underlying: Class A Common Stock · 35,018 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration, granted pursuant to the terms of that certain Agreement and Plan of Merger, dated as of February 9, 2021 (as amended, the "Merger Agreement"), by and among CM Life Sciences, Inc., S-IV Sub, Inc. and Mount Sinai Genomics, Inc. d/b/a Sema4. In addition, in the event that any similar RSUs are forfeited (for example, as a result of the recipient no longer being an employee of the Issuer), the Merger Agreement provides for the shares underlying such forfeited RSUs to become available for issuance to other RSU recipients. Therefore, each RSU also represents to right to receive additional shares of the Issuer's Class A Common Stock from this "forfeiture pool". The number of shares of the Issuer's Class A Common Stock that may be issued to the Reporting Person pursuant to the "forfeiture pool" is not determinable at this time.

F2 · derivative.exercise_price: [cont'd from footnote 1] Any shares of the Issuer's Class A Common Stock ultimately issued to the Reporting Person in respect of each RSU will be reported in a subsequent filing.

F4 · derivative.exercise_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date with respect to 16,910 of the RSUs, and will be satisfied with respect to the remainder of the RSUs over 8 quarterly periods, subject to the Reporting Person's continued service to the Issuer on each service-based vesting date.

F4 · derivative.expiration_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date with respect to 16,910 of the RSUs, and will be satisfied with respect to the remainder of the RSUs over 8 quarterly periods, subject to the Reporting Person's continued service to the Issuer on each service-based vesting date.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 19:06 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantRestricted Stock Unit · Derivative 97,142 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069328 · doc4.xml · derivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,142

Underlying: Class A Common Stock · 97,142 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration, granted pursuant to the terms of that certain Agreement and Plan of Merger, dated as of February 9, 2021 (as amended, the "Merger Agreement"), by and among CM Life Sciences, Inc., S-IV Sub, Inc. and Mount Sinai Genomics, Inc. d/b/a Sema4. In addition, in the event that any similar RSUs are forfeited (for example, as a result of the recipient no longer being an employee of the Issuer), the Merger Agreement provides for the shares underlying such forfeited RSUs to become available for issuance to other RSU recipients. Therefore, each RSU also represents to right to receive additional shares of the Issuer's Class A Common Stock from this "forfeiture pool". The number of shares of the Issuer's Class A Common Stock that may be issued to the Reporting Person pursuant to the "forfeiture pool" is not determinable at this time.

F2 · derivative.exercise_price: [cont'd from footnote 1] Any shares of the Issuer's Class A Common Stock ultimately issued to the Reporting Person in respect of each RSU will be reported in a subsequent filing.

F3 · derivative.exercise_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date.

F3 · derivative.expiration_date: The vesting of the RSUs is conditioned on the satisfaction of both a service requirement and a market-based requirement. The service requirement is deemed satisfied as of the grant date.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 18:54 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Tax withholdingClass A Common Stock 2,093 $5.53 $11,574.29
Disclosure

SEC source: 0001209191-21-067984 · doc4.xml · nonDerivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,391

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover certain tax obligation in connection with the stock bonus granted to the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.51 to $5.61, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 18:54 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantClass A Common Stock 5,800 $6.05 $35,090.00
Disclosure

SEC source: 0001209191-21-067984 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,484

F1 · shares: The indicated shares were issued to Reporting Person as a stock bonus in connection with the elimination of Issuer's sabbatical leave program, in which all employees of Issuer hired on or before June 30, 2021 were provided an opportunity to receive a stock bonus in lieu of their continued eligibility to take sabbatical leave. The stock bonus was fully vested as of the date of issuance.

Read SEC document
November 16, 2021 Filed Feb 7, 2022 19:15 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionEmployee Stock Option (right to buy) · Derivative 23,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001209191-22-007613 · doc5.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,504

Underlying: Class A Common Stock · 23,000 shares

Expires 2027-06-19

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.

F1 · derivative.exercise_date: This option is fully vested.

Read SEC document
November 16, 2021 Filed Feb 7, 2022 19:15 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 23,000 $0.15 $3,516.70
Disclosure

SEC source: 0001209191-22-007613 · doc5.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,391

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.

Read SEC document
October 25, 2021 Filed Nov 2, 2021 20:11 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionRestricted Stock Unit · Derivative 3,940 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-062546 · doc4.xml · derivative · entry 3

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,079

Underlying: Class A Common Stock · 3,940 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F3 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

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October 25, 2021 Filed Nov 2, 2021 20:11 UTC GeneDx Holdings Corp. SMFR · Entity 1634 SaleClass A Common Stock 1,256 $7.54 $9,470.24
Disclosure

SEC source: 0001209191-21-062546 · doc4.xml · nonDerivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,684

F2 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

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October 25, 2021 Filed Nov 2, 2021 20:11 UTC GeneDx Holdings Corp. SMFR · Entity 1634 Exercise / conversionClass A Common Stock 3,940 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-062546 · doc4.xml · nonDerivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,940

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.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

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October 01, 2021 Filed Oct 5, 2021 21:41 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantRestricted Stock Unit · Derivative 63,049 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-059754 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,049

Underlying: Class A Common Stock · 63,049 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F1 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F1 · derivative.expiration_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

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October 01, 2021 Filed Oct 5, 2021 21:41 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantEmployee Stock Option (Right to Buy) · Derivative 42,033 $0.00 Strike: $7.62 $0.00
Disclosure

SEC source: 0001209191-21-059754 · doc4.xml · derivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,033

Underlying: Class A Common Stock · 42,033 shares

Expires 2031-09-30

F1 · derivative.exercise_date: 6.25% vest in quarterly installments over the four-year period commencing on July 25, 2021 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

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July 22, 2021 Filed Jul 26, 2021 18:41 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantEmployee Stock Option (Right to Buy) · Derivative 401,767 Not disclosed Strike: $0.77 Not disclosed
Disclosure

SEC source: 0001209191-21-048225 · doc4.xml · derivative · entry 3

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,767

Underlying: Class A Common Stock · 401,767 shares

Expires 2030-02-17

F2 · price: Pursuant to the business combination between the Issuer (which was formerly known as CM Life Sciences, Inc.) and Mount Sinai Genomics, Inc. d/b/a Sema4 ("Sema4"), each share of Sema4 outstanding common stock was automatically converted into the right to shares of the Issuer's Class A Common Stock based on a 1 to 123.8338 exchange ratio ("Exchange Ratio"). In addition, each outstanding Sema4 equity award was automatically converted into a corresponding equity award of the Issuer based on the Exchange Ratio and with the same terms and vesting conditions as the Sema4 equity awards.

F3 · derivative.exercise_date: 6.25% of the total shares underlying the option vest in quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

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July 22, 2021 Filed Jul 26, 2021 18:41 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantEmployee Stock Option (Right to Buy) · Derivative 13,760 Not disclosed Strike: $0.77 Not disclosed
Disclosure

SEC source: 0001209191-21-048225 · doc4.xml · derivative · entry 2

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,760

Underlying: Class A Common Stock · 13,760 shares

Expires 2030-02-17

F2 · price: Pursuant to the business combination between the Issuer (which was formerly known as CM Life Sciences, Inc.) and Mount Sinai Genomics, Inc. d/b/a Sema4 ("Sema4"), each share of Sema4 outstanding common stock was automatically converted into the right to shares of the Issuer's Class A Common Stock based on a 1 to 123.8338 exchange ratio ("Exchange Ratio"). In addition, each outstanding Sema4 equity award was automatically converted into a corresponding equity award of the Issuer based on the Exchange Ratio and with the same terms and vesting conditions as the Sema4 equity awards.

F1 · derivative.exercise_date: This option is fully vested.

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July 22, 2021 Filed Jul 26, 2021 18:41 UTC GeneDx Holdings Corp. SMFR · Entity 1634 GrantEmployee Stock Option (Right to Buy) · Derivative 1,114,504 Not disclosed Strike: $0.15 Not disclosed
Disclosure

SEC source: 0001209191-21-048225 · doc4.xml · derivative · entry 1

Clark Daniel Emmett · CIK 0001874449 · Secretary and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,114,504

Underlying: Class A Common Stock · 1,114,504 shares

Expires 2027-06-19

F2 · price: Pursuant to the business combination between the Issuer (which was formerly known as CM Life Sciences, Inc.) and Mount Sinai Genomics, Inc. d/b/a Sema4 ("Sema4"), each share of Sema4 outstanding common stock was automatically converted into the right to shares of the Issuer's Class A Common Stock based on a 1 to 123.8338 exchange ratio ("Exchange Ratio"). In addition, each outstanding Sema4 equity award was automatically converted into a corresponding equity award of the Issuer based on the Exchange Ratio and with the same terms and vesting conditions as the Sema4 equity awards.

F1 · derivative.exercise_date: This option is fully vested.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.