SEC Form 4/A · accession 0001225385-16-000080
PRECIGEN, INC. · PGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Geno J Germano
Officer — President
Period of report
Jun 1, 2016
Accepted (ET)
Sep 26, 2016 · 6:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356090
Table I — non-derivative securities
No Table I lines on this filing.
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 (Right to Buy)F1,F2 | $29.94 | Jun 1, 2016 | A | 1,000,000 | A | — | Jun 1, 2026 | Common Stock | 1,000,000 | 1,000,000 | D |
Explanation of responses
- F1The original Form 4 filed on June 3, 2016 previously reported a grant of an option for 2,000,000 shares in connection with the reporting person's appointment as President of the Issuer. However, the option grant was only effective with respect to 1,000,000 shares, and this report is being filed to correct the prior over-reporting of the grant. On September 22, 2016, the reporting person was granted an option with respect to the remaining 1,000,000 option shares to which he was entitled. Those options are being reported on a separate Form 4.
- F2These options vest in 25% increments on June 1, 2017, 2018, 2019 and 2020.