PRECIGEN, INC. — Director's Dealing 2018

Oct 29, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2018-10-25

Reporting Person: KIRK RANDAL J (10% Owner)
Reporting Person: INTREXON CORP (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-10-25	Common Stock	X	1538461	$2.00	Acquired	8239199	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-10-25	Warrant to Purchase Common Stock	$2.00	X	1538461	Disposed	2023-01-17	Common Stock (1538461)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	200519	Indirect
Common Stock	5775	Indirect
Common Stock	4659	Indirect
Common Stock	20	Indirect
Common Stock	2080	Indirect
Common Stock	2095	Indirect
Common Stock	1708	Indirect
Common Stock	10784	Indirect
Common Stock	12726	Indirect
Common Stock	1132	Indirect
Common Stock	12617	Indirect
Common Stock	2021	Indirect
Common Stock	1770	Indirect
Common Stock	885	Indirect
Common Stock	295	Indirect
Common Stock	99537	Indirect
Common Stock	82083	Indirect
Common Stock	880	Indirect
Common Stock	3199	Indirect
Common Stock	14076	Indirect
Common Stock	20306	Indirect
Common Stock	20306	Indirect
Common Stock	10153	Indirect
Common Stock	199682	Indirect
Common Stock	3637	Indirect
Common Stock	124609	Indirect

Footnotes

F1: On October 24, 2018, Intrexon Corporation ("Intrexon") entered into a Warrant Exercise Agreement with the issuer, pursuant to which, on October 25, 2018, Intrexon exercised its warrant to purchase 1,538,461 shares of common stock, for a purchase price of $3,076,922 or $2.00 per share, which exercise price was reduced in accordance with the terms of the warrant.

F2: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon 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: Randal J. Kirk controls each of the R.J. Kirk Declaration of Trust "(R.J. Kirk DOT"), Third Security, LLC, ("Third Security"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). 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.

F4: Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC2010"), MGK 2011, LLC ("MGK 2011"), 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"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Third Security Capital Partners V, LLC ("TSCP V"). 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.