SEC Form 4 · accession 0001123292-19-000467
PRECIGEN, INC. · PGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vinita D Gupta
Director
Period of report
Mar 8, 2019
Accepted (ET)
Mar 12, 2019 · 7:09 pm EDT
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 | Mar 8, 2019 | A | 11,166 | $5.06 | A | 17,580 | D | |
| Common StockF2 | holding | — | — | — | 3,000 | I | By Trust |
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,F4 | — | Mar 8, 2019 | A | 24,703 | A | — | — | Common Stock | 24,703 | 32,614 | D |
| Option to Purchase Common Stock (Right to Buy) | $5.06 | Mar 8, 2019 | A | 42,450 | A | Mar 8, 2019 | Mar 8, 2029 | Common Stock | 42,450 | 42,450 | D |
Explanation of responses
- F1The shares were issued to the reporting person in lieu of an annual retainer of $56,500.
- F2Shares held in the Sharma-Gupta Marital Property Trust U/A dtd 1/20/2012.
- F3Each restricted stock unit represents a contingent right to receive one share of XON common stock.
- F4The restricted stock units vest in full one year from the grant date.