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PRECIGEN, INC. — Director's Dealing 2013
Aug 15, 2013
32044_dirs_2013-08-15_5c87b38a-6ddb-405a-8eb1-f1481a505c12.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: INTREXON CORP (XON)
CIK: 0001356090
Period of Report: 2013-08-13
Reporting Person: KIRK RANDAL J (Director, Chief Executive Officer, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-13 | Common Stock | C | 96349 | — | Acquired | 96349 | Indirect |
| 2013-08-13 | Common Stock | C | 5133 | $16.00 | Acquired | 101482 | Indirect |
| 2013-08-13 | Common Stock | C | 663644 | — | Acquired | 663644 | Indirect |
| 2013-08-13 | Common Stock | C | 35942 | $16.00 | Acquired | 699586 | Indirect |
| 2013-08-13 | Common Stock | C | 769433 | — | Acquired | 769433 | Indirect |
| 2013-08-13 | Common Stock | C | 49028 | $16.00 | Acquired | 818461 | Indirect |
| 2013-08-13 | Common Stock | C | 72864 | — | Acquired | 72864 | Indirect |
| 2013-08-13 | Common Stock | C | 3747 | $16.00 | Acquired | 76611 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-13 | Series F Convertible Preferred Stock | $ | C | 42794 | Disposed | Common Stock (24453) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (363) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock | $ | C | 49980 | Disposed | Common Stock (28560) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (2275) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock | $ | C | 75839 | Disposed | Common Stock (43336) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (2495) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock | $ | C | 312890 | Disposed | Common Stock (178794) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (2658) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock | $ | C | 422375 | Disposed | Common Stock (241357) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (19233) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock | $ | C | 361815 | Disposed | Common Stock (206751) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (11906) | Indirect | |
| 2013-08-13 | Series C Convertible Preferred Stock | $ | C | 64300 | Disposed | Common Stock (36742) | Indirect | |
| 2013-08-13 | Series C Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (2145) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock | $ | C | 128508 | Disposed | Common Stock (73433) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (1091) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock | $ | C | 1108800 | Disposed | Common Stock (633600) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (44294) | Indirect | |
| 2013-08-13 | Series C Convertible Preferred Stock | $ | C | 109200 | Disposed | Common Stock (62400) | Indirect | |
| 2013-08-13 | Series C Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (3643) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock | $ | C | 39492 | Disposed | Common Stock (22566) | Indirect | |
| 2013-08-13 | Series F Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (335) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock | $ | C | 40968 | Disposed | Common Stock (23410) | Indirect | |
| 2013-08-13 | Series E Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (1865) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock | $ | C | 47055 | Disposed | Common Stock (26888) | Indirect | |
| 2013-08-13 | Series D Convertible Preferred Stock Dividend | $16.00 | C | 0 | Disposed | Common Stock (1547) | Indirect |
Footnotes
F1: The indicated shares represent the number of shares received upon conversion of the Issuer's Convertible Preferred Stock, indicated by Series in Table II.
F2: Randal J. Kirk controls each of JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012") and ZSK 2008 LLC ("ZSK 2008"). Shares held by these entities may be deemed to be indirectly 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.
F3: Effective upon the closing of the Issuer's firm commitment underwritten initial public offering of its Common Stock, the shares of Convertible Preferred Stock automatically converted at a ratio of 1.75-to-1 into the number of shares of Common Stock shown in column 7. The shares of Convertible Preferred Stock had no expiration date.
F4: Effective upon the closing of the Issuer's firm commitment underwritten initial public offering all accrued dividends with respect to the shares of Convertible Preferred Stock were converted into shares of Common Stock at the then current fair market value, or $16.00 per share. Payment for partial shares was issued in the form of a monetary refund by the Issuer.