SEC Form 4 · accession 0001140361-16-077182

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

Aug 17, 2016

Accepted (ET)

Aug 18, 2016 · 5:00 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 Stock^F2,F1	Aug 17, 2016	X	8,871	$2.65	A	5,256,447	I	by R.J. Kirk DOT
Common Stock^F2,F1	Aug 17, 2016	X	2,957	$3.18	A	5,259,404	I	by R.J. Kirk DOT
Common Stock^F2	holding	—	—		—	246,434	I	by Third Security
Common Stock^F2	holding	—	—		—	311,287	I	by Staff 2001
Common Stock^F2	holding	—	—		—	1,403	I	by Lotus
Common Stock^F2	holding	—	—		—	139,052	I	by JPK 2008
Common Stock^F2	holding	—	—		—	140,007	I	by MGK 2008
Common Stock^F2	holding	—	—		—	114,181	I	by ZSK 2008
Common Stock^F2	holding	—	—		—	720,562	I	by JPK 2009
Common Stock^F2	holding	—	—		—	850,355	I	by MGK 2009
Common Stock^F2	holding	—	—		—	75,684	I	by ZSK 2009
Common Stock^F2	holding	—	—		—	843,044	I	by JPK 2012
Common Stock^F2	holding	—	—		—	135,033	I	by Kellie L. Banks LTT
Common Stock^F2	holding	—	—		—	118,266	I	by Senior Staff 2006
Common Stock^F2	holding	—	—		—	59,133	I	by Staff 2006
Common Stock^F2	holding	—	—		—	19,711	I	by Incentive 2006
Common Stock^F3	holding	—	—		—	6,649,997	I	by Kapital Joe
Common Stock^F3	holding	—	—		—	5,483,957	I	by Mascara Kaboom
Common Stock^F3	holding	—	—		—	58,800	I	by Sr. Staff
Common Stock^F3	holding	—	—		—	179,199	I	by ADC 2010
Common Stock^F3	holding	—	—		—	940,426	I	by MGK 2011
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	—	—		—	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

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Common Stock^F2,F1,F4	$2.65	Aug 17, 2016	X	8,871	D	—	Feb 20, 2018	Common Stock	8,871	0	I
Option to Purchase Common Stock^F2,F1,F4	$3.18	Aug 17, 2016	X	2,957	D	—	Feb 20, 2019	Common Stock	2,957	0	I

Explanation of responses

F1Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.
F2Randal J. Kirk controls each of Third Security, LLC ("Third Security"), R.J. Kirk DOT, Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). 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 LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), 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 V, LP ("NRM V"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NRM 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.
F4These options were granted to Mr. Kirk pursuant to his service on the Board of Directors of the issuer and were exercisable immediately upon the date of grant.