SEC Form 4 · accession 0001567619-19-000837

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

Jan 4, 2019

Accepted (ET)

Jan 8, 2019 · 9:34 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,F4	Jan 4, 2019	A	13,774	—	A	16,057,642	I	by R.J. Kirk DOT
Common Stock^F4	holding	—	—		—	1,582,524	I	by Third Security
Common Stock^F4	holding	—	—		—	151,746	I	by JPK 2008
Common Stock^F4	holding	—	—		—	814,571	I	by JPK 2009
Common Stock^F4	holding	—	—		—	879,537	I	by JPK 2012
Common Stock^F4	holding	—	—		—	138,603	I	by Kellie L. Banks LTT
Common Stock^F4	holding	—	—		—	152,701	I	by MGK 2008
Common Stock^F4	holding	—	—		—	941,191	I	by MGK 2009
Common Stock^F4	holding	—	—		—	976,523	I	by MGK 2011
Common Stock^F4	holding	—	—		—	46,212	I	by Sr. Staff 2015
Common Stock^F4	holding	—	—		—	46,212	I	by Staff 2015
Common Stock^F4	holding	—	—		—	124,495	I	by ZSK 2008
Common Stock^F4	holding	—	—		—	83,221	I	by ZSK 2009
Common Stock^F4	holding	—	—		—	14,140,139	I	by Kapital Joe
Common Stock^F5	holding	—	—		—	8,325,000	I	by TSCP V
Common Stock^F5	holding	—	—		—	311,287	I	by Staff 2001
Common Stock^F5	holding	—	—		—	1,403	I	by Lotus
Common Stock^F5	holding	—	—		—	118,266	I	by Senior Staff 2006
Common Stock^F5	holding	—	—		—	59,133	I	by Staff 2006
Common Stock^F5	holding	—	—		—	19,711	I	by Incentive 2006
Common Stock^F5	holding	—	—		—	5,483,957	I	by Mascara Kaboom
Common Stock^F5	holding	—	—		—	58,800	I	by Sr. Staff
Common Stock^F5	holding	—	—		—	213,805	I	by ADC 2010
Common Stock^F5	holding	—	—		—	1,356,648	I	by Senior Staff 2008
Common Stock^F5	holding	—	—		—	1,356,648	I	by Staff 2010
Common Stock^F5	holding	—	—		—	678,323	I	by Incentive 2010
Common Stock^F5	holding	—	—		—	13,340,645	I	by NRM VI Holdings
Common Stock^F5	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
Restricted Stock Units^F4,F2,F3	—	Jan 4, 2019	A	13,775	A	—	—	Common Stock	13,775	13,775	I

Explanation of responses

F1These shares of common stock resulted from the grant and immediate vesting of restricted stock units that were issued as a portion of the reporting person's 2018 incentive compensation.
F2Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock.
F3The restricted stock units vest in four (4) equal annual installments beginning January 4, 2020.
F4Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC ("Third Security"), 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"), ZSK 2009, LLC ("ZSK 2009"), 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.
F5Randal 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.