SEC Form 4 · accession 0001567619-18-006886

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

Nov 20, 2018

Accepted (ET)

Nov 23, 2018 · 4:38 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	Nov 20, 2018	J	12,694	—	A	151,746	I	by JPK 2008
Common Stock^F1,F2	Nov 20, 2018	J	94,009	—	A	814,571	I	by JPK 2009
Common Stock^F1,F2	Nov 20, 2018	J	36,493	—	A	879,537	I	by JPK 2012
Common Stock^F1,F2	Nov 20, 2018	J	3,570	—	A	138,603	I	by Kellie L. Banks LTT
Common Stock^F1,F2	Nov 20, 2018	J	12,694	—	A	152,701	I	by MGK 2008
Common Stock^F1,F2	Nov 20, 2018	J	90,836	—	A	941,191	I	by MGK 2009
Common Stock^F1,F2	Nov 20, 2018	J	36,097	—	A	976,523	I	by MGK 2011
Common Stock^F1,F2	Nov 20, 2018	J	46,212	—	A	46,212	I	by Sr. Staff 2015
Common Stock^F1,F2	Nov 20, 2018	J	46,212	—	A	46,212	I	by Staff 2015
Common Stock^F1,F2	Nov 20, 2018	J	10,314	—	A	124,495	I	by ZSK 2008
Common Stock^F1,F2	Nov 20, 2018	J	7,537	—	A	83,221	I	by ZSK 2009
Common Stock^F2	holding	—	—		—	1,408,429	I	by Third Security
Common Stock^F2	holding	—	—		—	15,992,879	I	by R.J. Kirk DOT
Common Stock^F2	holding	—	—		—	14,140,139	I	by Kapital Joe
Common Stock^F3	holding	—	—		—	8,325,000	I	by TSCP V
Common Stock^F3	holding	—	—		—	311,287	I	by Staff 2001
Common Stock^F3	holding	—	—		—	1,403	I	by Lotus
Common Stock^F3	holding	—	—		—	118,266	I	by Senior Staff 2006
Common Stock^F3	holding	—	—		—	59,133	I	by Staff 2006
Common Stock^F3	holding	—	—		—	19,711	I	by Incentive 2006
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	—	—		—	213,805	I	by ADC 2010
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	—	—		—	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 November 20, 2018, the issuer issued an aggregate of 1,933,737 shares of its common stock, in connection with the acquisition by ActoBio Therapeutics, Inc., a Delaware corporation and a wholly-owned subsidiary of the issuer, of Intrexon T1D Partners, LLC ("Intrexon T1D"). Each of JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), ZSK 2008, LLC ("ZSK 2008"), and ZSK 2009, LLC ("ZSK 2009"), received approximately 0.19833 shares of common stock of the issuer for each unit of Intrexon T1D owned.
F2Randal J. Kirk controls each of JPK 2008, JPK 2009, JPK 2012, Kellie L. Banks LTT, MGK 2008, MGK 2009, MGK 2011, Sr. Staff 2015, Staff 2015, ZSK 2008, ZSK 2009, Third Security, LLC ("Third Security"), the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Kapital Joe, LLC ("Kapital Joe"). 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 Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), 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.