PRECIGEN, INC. — Director's Dealing 2021

Mar 29, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2021-03-25

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-25	Common Stock	A	12970	$7.71	Acquired	18329996	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-25	Option to Purchase Common Stock (Right to Buy)	$5.65	A	44214	Acquired	2031-03-25	Common Stock (44214)	Indirect
2021-03-25	Restricted Stock Units	$	A	32425	Acquired		Common Stock (32425)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3541315	Indirect
Common Stock	3782354	Indirect
Common Stock	338154	Indirect
Common Stock	474194	Indirect
Common Stock	473231	Indirect
Common Stock	561872	Indirect
Common Stock	1572208	Indirect
Common Stock	1589531	Indirect
Common Stock	444007	Indirect
Common Stock	1592206	Indirect
Common Stock	1383858	Indirect
Common Stock	2976063	Indirect
Common Stock	691929	Indirect
Common Stock	1260538	Indirect
Common Stock	213805	Indirect
Common Stock	14140139	Indirect
Common Stock	311287	Indirect
Common Stock	58800	Indirect
Common Stock	1403	Indirect
Common Stock	118266	Indirect
Common Stock	59133	Indirect
Common Stock	19711	Indirect
Common Stock	975084	Indirect
Common Stock	975084	Indirect
Common Stock	4995000	Indirect
Common Stock	2497500	Indirect
Common Stock	832500	Indirect
Common Stock	16406828	Indirect
Common Stock	1144481	Indirect

Footnotes

F1: Randal J. Kirk controls each of 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"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Incentive 2009 LLC ("Incentive 2009"), 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 ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), 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 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), and Sunset 2020 LLC ("Sunset 2020"). 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.