SEC Form 4/A · accession 0001123292-19-000184
PRECIGEN, INC. · PGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert F. Walsh III
Officer — SVP, Energy & Fine Chem.
Period of report
Jan 4, 2019
Accepted (ET)
Jan 22, 2019 · 6:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356090
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 4, 2019 | A | 13,774 | — | A | 19,482 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F2,F4 | — | Jan 4, 2019 | A | 75,758 | A | — | — | Common Stock | 75,758 | 75,758 | D |
Explanation of responses
- F1These shares of common stock resulted from the grant and immediate vesting of restricted stock units that were issued as a portion of the reporting person's 2018 incentive compensation.
- F2Each restricted stock unit represents a contingent right to receive one share of XON common stock.
- F3The number of derivative securities acquired was incorrectly reported as being disposed of in the report filed January 8, 2019.
- F4The restricted stock units vest in four equal annual installments beginning January 4, 2020.