PRECIGEN, INC. — Director's Dealing 2020

Apr 2, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2020-03-31

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-31	Common Stock	A	76628	$2.61	Acquired	10588601	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	144481	Indirect
Common Stock	16406828	Indirect
Common Stock	367560	Indirect
Common Stock	1675873	Indirect
Common Stock	1316798	Indirect
Common Stock	366548	Indirect
Common Stock	1832054	Indirect
Common Stock	1299267	Indirect
Common Stock	337234	Indirect
Common Stock	151802	Indirect
Common Stock	182200	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	5483957	Indirect
Common Stock	58800	Indirect
Common Stock	213805	Indirect
Common Stock	1356648	Indirect
Common Stock	1356648	Indirect
Common Stock	1142759	Indirect
Common Stock	13340645	Indirect
Common Stock	243001	Indirect

Footnotes

F1: In accordance with the Restricted Stock Unit Agreement dated April 1, 2019 between Precigen, Inc. ("Precigen"), formerly Intrexon Corporation, and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Precigen common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Precigen common stock are to become vested and payable based upon the volume-weighted average of the price of the common stock of Precigen (as calculated by Bloomberg) over the 30-day period ending on the last calendar day of the month. Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.

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