SEC Form 4 · accession 0001123292-19-000469
PRECIGEN, INC. · PGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dean J Mitchell
Director
Period of report
Mar 8, 2019
Accepted (ET)
Mar 12, 2019 · 7:11 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 | 32,844 | D | |
| Common Stock | Mar 12, 2019 | M | 8,906 | $3.17 | A | 41,750 | 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 UnitsF2,F3 | — | 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 |
| Option to Purchase Common Stock (Right to Buy)F4 | $3.17 | Mar 12, 2019 | M | 8,906 | D | — | Mar 17, 2019 | Common Stock | 8,906 | 0 | D |
Explanation of responses
- F1The shares were issued to the reporting person in lieu of an annual retainer of $56,500.
- F2Each restricted stock unit represents a contingent right to receive one share of XON common stock.
- F3The restricted stock units vest in full one year from the grant date.
- F4The option was immediately exercisable.