Randal J. Kirk - Feb 22, 2022 Form 4 Insider Report for PRECIGEN, INC. (PGEN)

Role
Director, 10%+ Owner
Signature
/s/ Randal J. Kirk
Stock symbol
PGEN
Transactions as of
Feb 22, 2022
Transactions value $
$100,000
Form type
4
Date filed
2/24/2022, 07:29 PM
Previous filing
Jan 5, 2022
Next filing
Mar 28, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PGEN Common Stock Award $100K +49.3K +0.26% $2.03 19M Feb 22, 2022 by R.J. Kirk DOT F1, F2
holding PGEN Common Stock 1M Feb 22, 2022 by Parkview 2020 F2
holding PGEN Common Stock 480K Feb 22, 2022 by JPK 2008 F2
holding PGEN Common Stock 3.6M Feb 22, 2022 by JPK 2009 F2
holding PGEN Common Stock 1.61M Feb 22, 2022 by JPK 2012 F2
holding PGEN Common Stock 447K Feb 22, 2022 by Kellie L. Banks LTT F2
holding PGEN Common Stock 479K Feb 22, 2022 by MGK 2008 F2
holding PGEN Common Stock 3.84M Feb 22, 2022 by MGK 2009 F2
holding PGEN Common Stock 1.59M Feb 22, 2022 by MGK 2011 F2
holding PGEN Common Stock 568K Feb 22, 2022 by ZSK 2008 F2
holding PGEN Common Stock 343K Feb 22, 2022 by ZSK 2009 F2
holding PGEN Common Stock 1.14M Feb 22, 2022 by Spouse
holding PGEN Common Stock 13.5M Feb 22, 2022 by Kapital Joe F2
holding PGEN Common Stock 1.4K Feb 22, 2022 by Lotus F2
holding PGEN Common Stock 16.4M Feb 22, 2022 by Sunset 2020 F2, F4

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 Option to Purchase Common Stock (Right to Buy) Award $0 +166K $0.00 166K Feb 22, 2022 Common Stock 166K $2.03 by R.J. Kirk DOT F2
transaction PGEN Restricted Stock Units Award $0 +123K $0.00 123K Feb 22, 2022 Common Stock 123K by R.J. Kirk DOT F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The indicated number of shares reflects an internal transfer from ADC 2010, LLC ("ADC 2010") to the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), following the liquidation of ADC 2010 on December 31, 2021.
F2 Randal J. Kirk controls each of R.J. Kirk DOT, Parkview 2020 Limited Partnership ("Parkview 2020"), 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 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), 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.
F3 Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock, and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.
F4 Due to row limitations, this filing is comprised of two (2) Forms 4. Additional details are reported on a separate Form 4 filed with the SEC on February 24, 2022.