PRECIGEN, INC. — Director's Dealing 2020

Aug 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2020-08-11

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-11	Common Stock	P	562568	$4.50	Acquired	13216701	Indirect
2020-08-12	Common Stock	P	278921	$4.26	Acquired	13495622	Indirect
2020-08-11	Common Stock	P	21733	$4.50	Acquired	460584	Indirect
2020-08-12	Common Stock	P	10775	$4.26	Acquired	471359	Indirect
2020-08-11	Common Stock	P	59806	$4.50	Acquired	2256656	Indirect
2020-08-12	Common Stock	P	29652	$4.26	Acquired	2286308	Indirect
2020-08-11	Common Stock	P	33934	$4.50	Acquired	1564607	Indirect
2020-08-12	Common Stock	P	16824	$4.26	Acquired	1581431	Indirect
2020-08-11	Common Stock	P	21765	$4.50	Acquired	459604	Indirect
2020-08-12	Common Stock	P	10792	$4.26	Acquired	470396	Indirect
2020-08-11	Common Stock	P	61544	$4.50	Acquired	2496833	Indirect
2020-08-12	Common Stock	P	30514	$4.26	Acquired	2527347	Indirect
2020-08-11	Common Stock	P	18054	$4.50	Acquired	1553131	Indirect
2020-08-12	Common Stock	P	8952	$4.26	Acquired	1562083	Indirect
2020-08-11	Common Stock	P	21741	$4.50	Acquired	424782	Indirect
2020-08-12	Common Stock	P	10779	$4.26	Acquired	435561	Indirect
2020-08-11	Common Stock	P	4018	$4.50	Acquired	210660	Indirect
2020-08-12	Common Stock	P	1993	$4.26	Acquired	212653	Indirect
2020-08-11	Common Stock	P	3355	$4.50	Acquired	218459	Indirect
2020-08-12	Common Stock	P	1664	$4.26	Acquired	220123	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	0	Indirect
Common Stock	1576006	Indirect
Common Stock	1576006	Indirect
Common Stock	1252438	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"), Mascara Kaboom, LLC ("Mascara Kaboom"), 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: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).