SEC Form 4 · accession 0001140361-15-000553

PRECIGEN, INC. · PGEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Randal J Kirk

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Dec 31, 2014

Accepted (ET)

Jan 5, 2015 · 5:57 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 Stock^F1,F2	Dec 31, 2014	J	1,679,578	—	D	0	I	by NewVa
Common Stock^F1,F2	Dec 31, 2014	J	139,811	—	A	4,851,663	I	by R.J. Kirk DOT
Common Stock^F1,F2	Dec 31, 2014	J	28,593	—	A	130,075	I	by JPK 2008
Common Stock^F1,F2	Dec 31, 2014	J	28,593	—	A	131,030	I	by MGK 2008
Common Stock^F1,F2	Dec 31, 2014	J	28,593	—	A	105,204	I	by ZSK 2008
Common Stock^F1,F2	Dec 31, 2014	J	1,068	—	A	1,068	I	by Lotus
Common Stock^F1,F2	Dec 31, 2014	J	58,800	—	A	237,524	I	by Staff 2001
Common Stock^F1,F2	Dec 31, 2014	J	58,800	—	A	58,800	I	by Sr. Staff
Common Stock^F2	holding	—	—		—	699,586	I	by JPK 2009
Common Stock^F2	holding	—	—		—	829,379	I	by MGK 2009
Common Stock^F2	holding	—	—		—	73,668	I	by ZSK 2009
Common Stock^F2	holding	—	—		—	179,199	I	by ADC 2010
Common Stock^F2	holding	—	—		—	940,426	I	by MGK 2011
Common Stock^F2	holding	—	—		—	818,461	I	by JPK 2012
Common Stock^F2	holding	—	—		—	131,081	I	by Kellie L. Banks LTT
Common Stock^F3	holding	—	—		—	5,746,167	I	by Kapital Joe
Common Stock^F3	holding	—	—		—	5,428,401	I	by Mascara Kaboom
Common Stock^F3	holding	—	—		—	1,356,648	I	by Senior Staff 2008
Common Stock^F3	holding	—	—		—	1,356,648	I	by Staff 2010
Common Stock^F3	holding	—	—		—	678,323	I	by Incentive 2010
Common Stock^F3	holding	—	—		—	1,196,077	I	by NRM IV
Common Stock^F3	holding	—	—		—	22,636,052	I	by NRM V
Common Stock^F3	holding	—	—		—	13,340,645	I	by NRM VI Holdings
Common Stock^F3	holding	—	—		—	243,001	I	by NRM VII Holdings

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1On December 31, 2014, NewVa Capital Partners, LP ("NewVa") made a liquidating distribution of its assets to its partners in connection with the dissolution of the partnership in accordance with the terms of its limited partnership agreement. NewVa held 1,679,578 shares of common stock of the issuer. The following entities in their capacities as partners of NewVa, or designees, received shares as follows: R.J. Kirk Declaration of Trust ("RJ DOT") (139,811), JPK 2008 LLC ("JPK 2008") (28,593), MGK 2008 LLC ("MGK 2008") (28,593), ZSK 2008 LLC ("ZSK 2008") (28,593), Lotus Capital (2000) Co., Inc. ("Lotus") (1,068), Third Security Staff 2001 LLC ("Staff 2001") (58,800) and Third Security Senior Staff LLC ("Sr. Staff") (58,800). Shares held by these entities may be deemed to be indirectly beneficially owned by Randal J. Kirk (see footnote 2 below).
F2Randal J. Kirk controls each of NewVa, RJ DOT, JPK 2008, MGK 2008, ZSK 2008, JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Lotus, Staff 2001, Sr. Staff and Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"). 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.
F3Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), New River Management IV, LP ("NRM IV"), New River Management V, LP ("NRM V"), NRM VI Holdings I, LLC ("NRM VI Holdings") and New River Management VII Holdings I, LLC ("NRM VII Holdings"). 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.