Randal J. Kirk - Mar 9, 2023 Form 4 Insider Report for PRECIGEN, INC. (PGEN)

Role
Director, 10%+ Owner
Signature
/s/ Randal J. Kirk
Stock symbol
PGEN
Transactions as of
Mar 9, 2023
Transactions value $
$100,000
Form type
4
Date filed
3/13/2023, 05:11 PM
Previous filing
Feb 24, 2023
Next filing
Aug 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PGEN Common Stock Award $100K +85.5K +0.27% $1.17 31.3M Mar 9, 2023 by R.J. Kirk DOT F1
holding PGEN Common Stock 490K Mar 9, 2023 by JPK 2008 F1
holding PGEN Common Stock 3.7M Mar 9, 2023 by JPK 2009 F1
holding PGEN Common Stock 1.65M Mar 9, 2023 by JPK 2012 F1
holding PGEN Common Stock 489K Mar 9, 2023 by MGK 2008 F1
holding PGEN Common Stock 3.94M Mar 9, 2023 by MGK 2009 F1
holding PGEN Common Stock 1.64M Mar 9, 2023 by MGK 2011 F1
holding PGEN Common Stock 578K Mar 9, 2023 by ZSK 2008 F1
holding PGEN Common Stock 351K Mar 9, 2023 by ZSK 2009 F1
holding PGEN Common Stock 454K Mar 9, 2023 by Kellie L. Banks LTT F1
holding PGEN Common Stock 1.02M Mar 9, 2023 by Sr. Staff 2015 F1
holding PGEN Common Stock 1.02M Mar 9, 2023 by Staff 2015 F1
holding PGEN Common Stock 1M Mar 9, 2023 by Parkview 2020 F1
holding PGEN Common Stock 1.14M Mar 9, 2023 by Spouse
holding PGEN Common Stock 13.5M Mar 9, 2023 by Kapital Joe F1
holding PGEN Common Stock 1.4K Mar 9, 2023 by Lotus F1
holding PGEN Common Stock 16.4M Mar 9, 2023 by Sunset 2020 F1
holding PGEN Common Stock 1.84M Mar 9, 2023 by Staff 2010 F2
holding PGEN Common Stock 1.38M Mar 9, 2023 by Staff 2009 F2
holding PGEN Common Stock 3.22M Mar 9, 2023 by Sr. Staff 2008 F2
holding PGEN Common Stock 692K Mar 9, 2023 by Incentive 2009 F2
holding PGEN Common Stock 1.38M Mar 9, 2023 by Incentive 2010 F2
holding PGEN Common Stock 311K Mar 9, 2023 by Staff 2001 F2
holding PGEN Common Stock 58.8K Mar 9, 2023 by Sr. Staff F2
holding PGEN Common Stock 59.1K Mar 9, 2023 by Staff 2006 F2
holding PGEN Common Stock 118K Mar 9, 2023 by Sr. Staff 2006 F2
holding PGEN Common Stock 19.7K Mar 9, 2023 by Incentive 2006 F2
holding PGEN Common Stock 5M Mar 9, 2023 by Sr. Staff 2007 F2
holding PGEN Common Stock 2.5M Mar 9, 2023 by Staff 2007 F2
holding PGEN Common Stock 833K Mar 9, 2023 by Incentive 2007 F2

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 +251K $0.00 251K Mar 9, 2023 Common Stock 251K $1.17 by R.J.Kirk DOT F1
transaction PGEN Restricted Stock Units Award $0 +214K $0.00 214K Mar 9, 2023 Common Stock 214K by R.J Kirk DOT F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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"), 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"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Parkview 2020 Limited Partnership ("Parkview 2020"), 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.
F2 Randal J. Kirk controls each of 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"), Third Security Incentive 2006 LLC ("Incentive 2006"), 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.
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.