Sec Form 3 Filing - MARKS MICHAEL E @ Berkeley Lights, Inc. - 2020-07-16

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
MARKS MICHAEL E
2. Issuer Name and Ticker or Trading Symbol
Berkeley Lights, Inc. [ BLI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
5858 HORTON STREET, SUITE 320
3. Date of Earliest Transaction (MM/DD/YY)
07/16/2020
(Street)
EMERYVILLE, CA94608
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Series B Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 2,329,916 I See footnote ( 2 )
Series C Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 853,242 I See footnote ( 2 )
Series D Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 742,942 I See footnote ( 3 )
Series E Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 191,655 I See footnote ( 3 )
Series E Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 19,230 I By Marks Family Trust ( 4 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
MARKS MICHAEL E
5858 HORTON STREET, SUITE 320
EMERYVILLE, CA94608
X
Signatures
/s/ Stuart L. Merkadeau, Attorney-in-fact for Michael Marks 07/16/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Preferred Stock automatically converts on a one-for-one basis into Common stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock has no expiration date.
( 2 )Consists of shares held by Walden Riverwood Ventures, L.P. ("Walden"). Mr. Marks is a member of the investment committee of Walden Riverwood GP, LLC ("Walden GP"), which is the general partner of Walden. As a result, Mr. Marks may be deemed to beneficially own the shares held by Walden. Mr. Marks disclaims beneficial ownership of the shares held by Walden except to the extent of his pecuniary interest therein. Walden and Walden GP are filing separate statements of initial beneficial ownership on Forms 3.
( 3 )Consists of shares held by WRV II, L.P. ("WRV II"). Mr. Marks is a member of the investment committee of WRV GP II, LLC, which is the general partner of WRV II. As a result, Mr. Marks may be deemed to beneficially own the shares held by the WRV II. Mr. Marks disclaims beneficial ownership of the shares held by WRV II and Walden except to the extent of his pecuniary interest therein. WRV II and Walden are filing separate statements of initial beneficial ownership on Forms 3.
( 4 )As trustee of the Marks Family Trust (the "Trust"), Mr. Marks may be deemed to beneficially own the shares held by the Trust. Mr. Marks disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein.

Remarks:
Exhibit 24 - Power of Attorney.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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