Randal J. Kirk - 25 Mar 2022 Form 4 Insider Report for PRECIGEN, INC. (PGEN)

Role
Director, 10%+ Owner
Signature
/s/ Randal J. Kirk
Issuer symbol
PGEN
Transactions as of
25 Mar 2022
Net transactions value
$0
Form type
4
Filing time
28 Mar 2022, 18:09:25 UTC
Previous filing
24 Feb 2022
Next filing
07 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PGEN Common Stock Options Exercise $0 +32,425 +0.17% $0.000000 19,037,059 25 Mar 2022 by R.J. Kirk DOT F1, F2
holding PGEN Common Stock 1,000,000 25 Mar 2022 by Parkview 2020 F2
holding PGEN Common Stock 479,857 25 Mar 2022 by JPK 2008 F2
holding PGEN Common Stock 3,597,953 25 Mar 2022 by JPK 2009 F2
holding PGEN Common Stock 1,612,186 25 Mar 2022 by JPK 2012 F2
holding PGEN Common Stock 447,405 25 Mar 2022 by Kellie L. Banks LTT F2
holding PGEN Common Stock 478,894 25 Mar 2022 by MGK 2008 F2
holding PGEN Common Stock 3,838,992 25 Mar 2022 by MGK 2009 F2
holding PGEN Common Stock 1,594,863 25 Mar 2022 by MGK 2011 F2
holding PGEN Common Stock 567,535 25 Mar 2022 by ZSK 2008 F2
holding PGEN Common Stock 342,685 25 Mar 2022 by ZSK 2009 F2
holding PGEN Common Stock 1,144,481 25 Mar 2022 by Spouse
holding PGEN Common Stock 13,520,789 25 Mar 2022 by Kapital Joe F2
holding PGEN Common Stock 1,403 25 Mar 2022 by Lotus F2
holding PGEN Common Stock 16,406,828 25 Mar 2022 by Sunset 2020 F2
holding PGEN Common Stock 989,243 25 Mar 2022 by Sr. Staff 2015 F3
holding PGEN Common Stock 989,252 25 Mar 2022 by Staff 2015 F3
holding PGEN Common Stock 1,839,946 25 Mar 2022 by Staff 2010 F3
holding PGEN Common Stock 1,383,858 25 Mar 2022 by Staff 2009 F3
holding PGEN Common Stock 3,223,803 25 Mar 2022 by Sr. Staff 2008 F3
holding PGEN Common Stock 691,929 25 Mar 2022 by Incentive 2009 F3
holding PGEN Common Stock 1,384,408 25 Mar 2022 by Incentive 2010 F3
holding PGEN Common Stock 311,287 25 Mar 2022 by Staff 2001 F3
holding PGEN Common Stock 58,800 25 Mar 2022 by Sr. Staff F3
holding PGEN Common Stock 59,133 25 Mar 2022 by Staff 2006 F3
holding PGEN Common Stock 118,266 25 Mar 2022 by Sr. Staff 2006 F3
holding PGEN Common Stock 19,711 25 Mar 2022 by Incentive 2006 F3
holding PGEN Common Stock 4,995,000 25 Mar 2022 by Sr. Staff 2007 F4
holding PGEN Common Stock 2,497,500 25 Mar 2022 by Staff 2007 F4
holding PGEN Common Stock 832,500 25 Mar 2022 by Incentive 2007 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 Restricted Stock Units Options Exercise $0 -32,425 -100% $0.000000* 0 25 Mar 2022 Common Stock 32,425 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 March 25, 2021 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"), 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 Randal J. Kirk controls each of 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"), Third Security Incentive 2009 LLC ("Incentive 2009"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), and Third Security Incentive 2006 LLC ("Incentive 2006"). Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F4 Randal J. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Incentive 2007"). 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.