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

Role
Director, 10%+ Owner
Signature
/s/ Randal J. Kirk
Stock symbol
PGEN
Transactions as of
Mar 25, 2022
Transactions value $
$0
Form type
4
Date filed
3/28/2022, 06:09 PM
Previous filing
Feb 24, 2022
Next filing
Oct 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PGEN Common Stock Options Exercise $0 +32.4K +0.17% $0.00 19M Mar 25, 2022 by R.J. Kirk DOT F1, F2
holding PGEN Common Stock 1M Mar 25, 2022 by Parkview 2020 F2
holding PGEN Common Stock 480K Mar 25, 2022 by JPK 2008 F2
holding PGEN Common Stock 3.6M Mar 25, 2022 by JPK 2009 F2
holding PGEN Common Stock 1.61M Mar 25, 2022 by JPK 2012 F2
holding PGEN Common Stock 447K Mar 25, 2022 by Kellie L. Banks LTT F2
holding PGEN Common Stock 479K Mar 25, 2022 by MGK 2008 F2
holding PGEN Common Stock 3.84M Mar 25, 2022 by MGK 2009 F2
holding PGEN Common Stock 1.59M Mar 25, 2022 by MGK 2011 F2
holding PGEN Common Stock 568K Mar 25, 2022 by ZSK 2008 F2
holding PGEN Common Stock 343K Mar 25, 2022 by ZSK 2009 F2
holding PGEN Common Stock 1.14M Mar 25, 2022 by Spouse
holding PGEN Common Stock 13.5M Mar 25, 2022 by Kapital Joe F2
holding PGEN Common Stock 1.4K Mar 25, 2022 by Lotus F2
holding PGEN Common Stock 16.4M Mar 25, 2022 by Sunset 2020 F2
holding PGEN Common Stock 989K Mar 25, 2022 by Sr. Staff 2015 F3
holding PGEN Common Stock 989K Mar 25, 2022 by Staff 2015 F3
holding PGEN Common Stock 1.84M Mar 25, 2022 by Staff 2010 F3
holding PGEN Common Stock 1.38M Mar 25, 2022 by Staff 2009 F3
holding PGEN Common Stock 3.22M Mar 25, 2022 by Sr. Staff 2008 F3
holding PGEN Common Stock 692K Mar 25, 2022 by Incentive 2009 F3
holding PGEN Common Stock 1.38M Mar 25, 2022 by Incentive 2010 F3
holding PGEN Common Stock 311K Mar 25, 2022 by Staff 2001 F3
holding PGEN Common Stock 58.8K Mar 25, 2022 by Sr. Staff F3
holding PGEN Common Stock 59.1K Mar 25, 2022 by Staff 2006 F3
holding PGEN Common Stock 118K Mar 25, 2022 by Sr. Staff 2006 F3
holding PGEN Common Stock 19.7K Mar 25, 2022 by Incentive 2006 F3
holding PGEN Common Stock 5M Mar 25, 2022 by Sr. Staff 2007 F4
holding PGEN Common Stock 2.5M Mar 25, 2022 by Staff 2007 F4
holding PGEN Common Stock 833K Mar 25, 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 -32.4K -100% $0.00* 0 Mar 25, 2022 Common Stock 32.4K 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.