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PRECIGEN, INC. — Director's Dealing 2022
Jan 5, 2022
32044_dirs_2022-01-05_6a0302d9-16c5-47cd-845f-7aeac5f66759.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRECIGEN, INC. (PGEN)
CIK: 0001356090
Period of Report: 2022-01-04
Reporting Person: KIRK RANDAL J (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-04 | Common Stock | M | 3444 | — | Acquired | 18741568 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-04 | Restricted Stock Units | $ | M | 3444 | Acquired | Common Stock (3444) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1000000 | Indirect |
| Common Stock | 479857 | Indirect |
| Common Stock | 3597953 | Indirect |
| Common Stock | 1612186 | Indirect |
| Common Stock | 447405 | Indirect |
| Common Stock | 478894 | Indirect |
| Common Stock | 3838992 | Indirect |
| Common Stock | 1594863 | Indirect |
| Common Stock | 567535 | Indirect |
| Common Stock | 342685 | Indirect |
| Common Stock | 213805 | Indirect |
| Common Stock | 1144481 | Indirect |
| Common Stock | 13520789 | Indirect |
| Common Stock | 1403 | Indirect |
| Common Stock | 16406828 | Indirect |
Footnotes
F1: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock.
F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), 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: Due to row limitations, this filing is comprised of two (2) Forms 4. Additional details are reported on a separate Form 4 filed with the SEC on January 5, 2022.