PRECIGEN, INC. — Director's Dealing 2020

Sep 29, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2020-09-24

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-24	Common Stock	A	21428	$3.50	Acquired	13517050	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-24	Option to Purchase Common Stock (Right to Buy)	$3.50	A	74656	Acquired	2030-09-24	Common Stock (74656)	Indirect
2020-09-24	Restricted Stock Units	$	A	53571	Acquired		Common Stock (53571)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	471359	Indirect
Common Stock	2286308	Indirect
Common Stock	1581431	Indirect
Common Stock	470396	Indirect
Common Stock	2527347	Indirect
Common Stock	1562083	Indirect
Common Stock	435561	Indirect
Common Stock	212653	Indirect
Common Stock	220123	Indirect
Common Stock	1576006	Indirect
Common Stock	1576006	Indirect
Common Stock	1252438	Indirect
Common Stock	16406828	Indirect
Common Stock	975084	Indirect
Common Stock	975084	Indirect
Common Stock	14140139	Indirect
Common Stock	8325000	Indirect
Common Stock	311287	Indirect
Common Stock	1403	Indirect
Common Stock	118266	Indirect
Common Stock	59133	Indirect
Common Stock	19711	Indirect
Common Stock	58800	Indirect
Common Stock	213805	Indirect
Common Stock	13340645	Indirect
Common Stock	243001	Indirect
Common Stock	1144481	Indirect

Footnotes

F1: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. DOT"), JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), ZSK 2008, LLC ("ZSK 2008"), ZSK 2009, LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("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.

F2: Randal J. Kirk controls each of Sunset 2020 LLC ("Sunset 2020"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Kapital Joe, LLC ("Kapital Joe"), 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 ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 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.

F3: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock, and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.