Statement of Changes in Beneficial Ownership (4)
03 February 2022 - 10:04AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Serber Zachariah |
2. Issuer Name and Ticker or Trading Symbol
Zymergen Inc.
[
ZY
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Science Officer |
(Last)
(First)
(Middle)
5980 HORTON STREET, SUITE 105 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/31/2022 |
(Street)
EMERYVILLE, CA 94608
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 1/31/2022 | | S(1) | | 5435 | D | $5.0339 (2) | 2385785 | D | |
Common Stock | | | | | | | | 40000 | I (3) | See Footnote (3) |
Common Stock | | | | | | | | 40000 | I (4) | See Footnote (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 23, 2021 that provides for the sale of up to 250,000 shares over the next ten (10) months, which started January 24, 2022. |
(2) | Transaction executed in multiple trades at prices ranging from $4.74 to $5.19 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. |
(3) | Held by the Rorik Serber 2021 Irrevocable Trust. |
(4) | Held by spouse as custodian for children under the California Uniform Transfer to Minors Act. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Serber Zachariah 5980 HORTON STREET, SUITE 105 EMERYVILLE, CA 94608 | X |
| Chief Science Officer |
|
Signatures
|
/s/ Mina Kim, attorney-in-fact | | 2/2/2022 |
**Signature of Reporting Person | Date |
Zymergen (NASDAQ:ZY)
Historical Stock Chart
From Feb 2025 to Mar 2025
Zymergen (NASDAQ:ZY)
Historical Stock Chart
From Mar 2024 to Mar 2025
Real-Time news about Zymergen Inc (NASDAQ): 0 recent articles
More Zymergen Inc. News Articles