Randal J. Kirk - Sep 24, 2021 Form 4 Insider Report for PRECIGEN, INC. (PGEN)

Role
Director, 10%+ Owner
Signature
/s/ Randal J. Kirk
Stock symbol
PGEN
Transactions as of
Sep 24, 2021
Transactions value $
$0
Form type
4
Date filed
9/24/2021, 04:15 PM
Previous filing
Jun 7, 2021
Next filing
Nov 23, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PGEN Common Stock Options Exercise +53.6K +0.29% 18.7M Sep 24, 2021 by R.J. Kirk DOT F1, F2
holding PGEN Common Stock 480K Sep 24, 2021 by JPK 2008 F2
holding PGEN Common Stock 3.6M Sep 24, 2021 by JPK 2009 F2
holding PGEN Common Stock 1.61M Sep 24, 2021 by JPK 2012 F2
holding PGEN Common Stock 447K Sep 24, 2021 by Kellie L. Banks LTT F2
holding PGEN Common Stock 479K Sep 24, 2021 by MGK 2008 F2
holding PGEN Common Stock 3.84M Sep 24, 2021 by MGK 2009 F2
holding PGEN Common Stock 1.59M Sep 24, 2021 by MGK 2011 F2
holding PGEN Common Stock 568K Sep 24, 2021 by ZSK 2008 F2
holding PGEN Common Stock 343K Sep 24, 2021 by ZSK 2009 F2
holding PGEN Common Stock 989K Sep 24, 2021 by Sr. Staff 2015 F2
holding PGEN Common Stock 989K Sep 24, 2021 by Staff 2015 F2
holding PGEN Common Stock 1.59M Sep 24, 2021 by Staff 2010 F2
holding PGEN Common Stock 1.38M Sep 24, 2021 by Staff 2009 F2
holding PGEN Common Stock 2.98M Sep 24, 2021 by Sr. Staff 2008 F2
holding PGEN Common Stock 692K Sep 24, 2021 by Incentive 2009 F2
holding PGEN Common Stock 1.26M Sep 24, 2021 by Incentive 2010 F3
holding PGEN Common Stock 214K Sep 24, 2021 by ADC 2010 F3
holding PGEN Common Stock 14.1M Sep 24, 2021 by Kapital Joe F3
holding PGEN Common Stock 311K Sep 24, 2021 by Staff 2001 F3
holding PGEN Common Stock 58.8K Sep 24, 2021 by Sr. Staff F3
holding PGEN Common Stock 1.4K Sep 24, 2021 by Lotus F3
holding PGEN Common Stock 59.1K Sep 24, 2021 by Staff 2006 F3
holding PGEN Common Stock 118K Sep 24, 2021 by Sr. Staff 2006 F3
holding PGEN Common Stock 19.7K Sep 24, 2021 by Incentive 2006 F3
holding PGEN Common Stock 5M Sep 24, 2021 by Sr. Staff 2007 F3
holding PGEN Common Stock 2.5M Sep 24, 2021 by Staff 2007 F3
holding PGEN Common Stock 833K Sep 24, 2021 by Incentive 2007 F3
holding PGEN Common Stock 16.4M Sep 24, 2021 by Sunset 2020 F3
holding PGEN Common Stock 1.14M Sep 24, 2021 by Spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PGEN Restricted Stock Units Options Exercise $0 +53.6K $0.00 53.6K Sep 24, 2021 Common Stock 53.6K by R.J. Kirk DOT F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on September 24, 2020 and vested in their entirety on the one-year anniversary of the date of grant.
F2 Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), and Third Security Incentive 2009 LLC ("Incentive 2009"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F3 Randal J. Kirk controls each of Third Security Incentive 2010 LLC ("Incentive 2010"), ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.