SEC Form 4 · accession 0001140361-17-040509
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
Oct 31, 2017
Accepted (ET)
Nov 1, 2017 · 4:18 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,F3 | Oct 31, 2017 | A | 44,469 | $17.99 | A | 759,959 | I | by Third Security |
| Common StockF2,F3 | Oct 31, 2017 | A | 12,232 | $16.35 | A | 13,494,202 | I | by R.J. Kirk DOT |
| Common StockF3 | holding | — | — | — | 8,325,000 | I | by TSCP V | |
| Common StockF3 | holding | — | — | — | 311,287 | I | by Staff 2001 | |
| Common StockF3 | holding | — | — | — | 1,403 | I | by Lotus | |
| Common StockF3 | holding | — | — | — | 139,052 | I | by JPK 2008 | |
| Common StockF3 | holding | — | — | — | 140,007 | I | by MGK 2008 | |
| Common StockF3 | holding | — | — | — | 114,181 | I | by ZSK 2008 | |
| Common StockF3 | holding | — | — | — | 720,562 | I | by JPK 2009 | |
| Common StockF3 | holding | — | — | — | 850,355 | I | by MGK 2009 | |
| Common StockF3 | holding | — | — | — | 75,684 | I | by ZSK 2009 | |
| Common StockF3 | holding | — | — | — | 843,044 | I | by JPK 2012 | |
| Common StockF3 | holding | — | — | — | 135,033 | I | by Kellie L. Banks LTT | |
| Common StockF3 | holding | — | — | — | 118,266 | I | by Senior Staff 2006 | |
| Common StockF3 | holding | — | — | — | 59,133 | I | by Staff 2006 | |
| Common StockF3 | holding | — | — | — | 19,711 | I | by Incentive 2006 | |
| Common StockF4 | holding | — | — | — | 6,782,622 | I | by Kapital Joe | |
| Common StockF4 | holding | — | — | — | 5,483,957 | I | by Mascara Kaboom | |
| Common StockF4 | holding | — | — | — | 58,800 | I | by Sr. Staff | |
| Common StockF4 | holding | — | — | — | 213,805 | I | by ADC 2010 | |
| Common StockF4 | holding | — | — | — | 940,426 | I | by MGK 2011 | |
| Common StockF4 | holding | — | — | — | 1,356,648 | I | by Senior Staff 2008 | |
| Common StockF4 | holding | — | — | — | 1,356,648 | I | by Staff 2010 | |
| Common StockF4 | holding | — | — | — | 678,323 | I | by Incentive 2010 | |
| Common StockF4 | holding | — | — | — | 13,340,645 | I | by NRM VI Holdings | |
| Common StockF4 | holding | — | — | — | 243,001 | I | by NRM VII Holdings |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In accordance with the Services Agreement between Intrexon and Third Security, LLC ("Third Security") dated November 1, 2015 for services provided by Third Security to Intrexon Corporation ("Intrexon"), Intrexon shall pay to Third Security, on a monthly basis, such number of shares of common stock of Intrexon, rounded down to the nearest whole number, equal to a value of $800,000. Such value shall be based upon the closing price of the common stock of Intrexon on the NYSE on the 15th calendar day of each month (or, if such date is not a trading day, the most recent trading day prior to such date).
- F2In accordance with the Restricted Stock Unit Agreement dated November 1, 2015 between Intrexon and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Intrexon common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Intrexon common stock are to become vested and payable based upon the closing price of the common stock of Intrexon on the NYSE on the last calendar day of each month (or, if such date is not a trading day, the most recent trading day prior to such date). Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.
- F3Randal J. Kirk controls each of Third Security, R.J. Kirk DOT, Third Security Capital Partners V, LLC ("TSCP V"), 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.
- F4Randal 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"), 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.