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