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PRECIGEN, INC. — Director's Dealing 2023
Aug 19, 2023
32044_dirs_2023-08-18_352e31f6-8904-4103-9bff-f58f295402de.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: 2023-08-16
Reporting Person: Shah Rutul R (Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-08-16 | Common Stock | M | 15480 | — | Acquired | 128680 | Direct |
| 2023-08-17 | Common Stock | S | 5298 | $1.55 | Disposed | 123382 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-08-16 | Restricted Stock Units | $ | M | 15480 | Disposed | Common Stock (15480) | Direct |
Footnotes
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.
F2: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs pursuant to the terms of a 10b5-1 plan adopted by the reporting person. The sale was effected through an automatic "sell to cover" transaction that did not represent a discretionary trade by the reporting person.
F3: Represents 1/6 of the RSUs granted on March 24, 2023 that vested on August 16, 2023. The remaining RSUs vest on August 23, 2023.