PRECIGEN, INC. — Director's Dealing 2020

Dec 21, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2020-12-17

Reporting Person: KIRK RANDAL J (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-17	Common Stock	J	13340645	—	Disposed	0	Indirect
2020-12-17	Common Stock	J	243001	—	Disposed	0	Indirect
2020-12-17	Common Stock	J	4682816	—	Acquired	18199866	Indirect
2020-12-17	Common Stock	J	113716	—	Acquired	18313582	Indirect
2020-12-17	Common Stock	J	1234757	—	Acquired	3521065	Indirect
2020-12-17	Common Stock	J	20250	—	Acquired	3541315	Indirect
2020-12-17	Common Stock	J	1234757	—	Acquired	3762104	Indirect
2020-12-17	Common Stock	J	20250	—	Acquired	3782354	Indirect
2020-12-17	Common Stock	J	123476	—	Acquired	336129	Indirect
2020-12-17	Common Stock	J	2025	—	Acquired	338154	Indirect
2020-12-17	Common Stock	J	2835	—	Acquired	474194	Indirect
2020-12-17	Common Stock	J	2835	—	Acquired	473231	Indirect
2020-12-17	Common Stock	J	123476	—	Acquired	559037	Indirect
2020-12-17	Common Stock	J	2835	—	Acquired	561872	Indirect
2020-12-17	Common Stock	J	10125	—	Acquired	1572208	Indirect
2020-12-17	Common Stock	J	8100	—	Acquired	1589531	Indirect
2020-12-17	Common Stock	J	222264	—	Acquired	442387	Indirect
2020-12-17	Common Stock	J	1620	—	Acquired	444007	Indirect
2020-12-17	Common Stock	J	16200	—	Acquired	1592206	Indirect
2020-12-17	Common Stock	J	1383858	—	Acquired	1383858	Indirect
2020-12-17	Common Stock	J	1383857	—	Acquired	2959863	Indirect
2020-12-17	Common Stock	J	16200	—	Acquired	2976063	Indirect
2020-12-17	Common Stock	J	691929	—	Acquired	691929	Indirect
2020-12-17	Common Stock	J	8100	—	Acquired	1260538	Indirect

Footnotes

F1: On December 17, 2020, NRM VI Holdings I, LLC ("NRM VI Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 13,340,645 shares of the issuer. The following entities in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ZSK 2008, LLC ("ZSK 2008"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), and Third Security Incentive 2009 LLC ("Incentive 2009").

F2: On December 17, 2020, NRM VII Holdings I, LLC ("NRM VII Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 243,001 shares of the issuer. The following entities in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk DOT, JPK 2009, MGK 2009, ZSK 2009, JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks LTT, Sr. Staff 2008, Third Security Staff 2010 LLC ("Staff 2010") and Third Security Incentive 2010 LLC ("Incentive 2010").

F3: Randal J. Kirk controls each of R.J. Kirk DOT, JPK 2009, MGK 2009, ZSK 2009, JPK 2008, MGK 2008, ZSK 2008, MGK 2011, JPK 2012, Kellie L. Banks LTT, Staff 2010, Staff 2009, Sr. Staff 2008, Incentive 2009, and Incentive 2010. 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.