0000899243-21-024436.txt : 20210617
0000899243-21-024436.hdr.sgml : 20210617
20210617164712
ACCESSION NUMBER: 0000899243-21-024436
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210617
FILED AS OF DATE: 20210617
DATE AS OF CHANGE: 20210617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Northpond Ventures GP, LLC
CENTRAL INDEX KEY: 0001867470
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40497
FILM NUMBER: 211025343
BUSINESS ADDRESS:
STREET 1: 7500 OLD GEORGETOWN ROAD
STREET 2: SUITE 850
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: 240-800-1200
MAIL ADDRESS:
STREET 1: 7500 OLD GEORGETOWN ROAD
STREET 2: SUITE 850
CITY: BETHESDA
STATE: MD
ZIP: 20814
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rubin Michael P.
CENTRAL INDEX KEY: 0001867627
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40497
FILM NUMBER: 211025341
MAIL ADDRESS:
STREET 1: 7500 OLD GEORGETOWN ROAD
STREET 2: SUITE 850
CITY: BETHESDA
STATE: MD
ZIP: 20814
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Northpond Ventures, LP
CENTRAL INDEX KEY: 0001867472
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40497
FILM NUMBER: 211025342
BUSINESS ADDRESS:
STREET 1: 7500 OLD GEORGETOWN ROAD
STREET 2: SUITE 850
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: 240-800-1200
MAIL ADDRESS:
STREET 1: 7500 OLD GEORGETOWN ROAD
STREET 2: SUITE 850
CITY: BETHESDA
STATE: MD
ZIP: 20814
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Codex DNA, Inc.
CENTRAL INDEX KEY: 0001850079
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 451216839
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9535 WAPLES STREET
STREET 2: SUITE 100
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 858-228-4115
MAIL ADDRESS:
STREET 1: 9535 WAPLES STREET
STREET 2: SUITE 100
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2021-06-17
0
0001850079
Codex DNA, Inc.
DNAY
0001867470
Northpond Ventures GP, LLC
7500 OLD GEORGETOWN ROAD, SUITE 850
BETHESDA
MD
20814
0
0
1
0
0001867472
Northpond Ventures, LP
7500 OLD GEORGETOWN ROAD, SUITE 850
BETHESDA
MD
20814
0
0
1
0
0001867627
Rubin Michael P.
7500 OLD GEORGETOWN ROAD, SUITE 850
BETHESDA
MD
20814
0
0
1
0
Series A Preferred Stock
Common Stock
5241851
I
By: Northpond Ventures, LP
Series A-1 Preferred Stock
Common Stock
4160529
I
By: Northpond Ventures, LP
All shares of Class A Preferred Stock, par value $0.0001 per share (the "Class A Preferred Stock"), of Codex DNA, Inc. (the "Issuer") will automatically convert on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock. The Class A Preferred Stock has no expiration date.
All shares of Class A-1 Preferred Stock, par value $0.0001 per share (the "Class A-1 Preferred Stock"), of the "Issuer will automatically convert on a one-for-one basis into shares of the Issuer's Common Stock prior to the closing of the Issuer's initial public offering of its Common Stock. The Class A-1 Preferred Stock has no expiration date.
Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations
2021-06-17
Northpond Ventures, LP, By: Northpond Ventures GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations
2021-06-17
/s/ Michael P. Rubin
2021-06-17