SEC Form 4 · accession 0001225385-16-000090
PRECIGEN, INC. · PGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick L. Sterling
Officer — Chief Financial Officer
Period of report
Dec 20, 2016
Accepted (ET)
Dec 22, 2016 · 7:20 am 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 | Dec 20, 2016 | M | 3,000 | $2.65 | A | 6,369 | D |
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) | $2.65 | Dec 20, 2016 | M | 3,000 | D | Jul 9, 2007 | Jul 9, 2017 | Common Stock | 3,000 | 67,979 | D |