Statement of Changes in Beneficial Ownership (4)
August 17 2021 - 6:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ares Trading S.A. |
2. Issuer Name and Ticker or Trading Symbol
PRECIGEN, INC.
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PGEN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
RUE DE L'OURIETTE 151, ZONE INDUSTRIELLE DE L'OURIETTAZ |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/13/2021 |
(Street)
AUBONNE, V8 1170
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/13/2021 | | S(1) | | 52031 | D | $6.1957 | 21955072 | D | |
Common Stock | 8/16/2021 | | S(1) | | 6313 | D | $6.1321 | 21948759 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Ares Trading, S.A. on April 29, 2021. |
Remarks: This Form 4 is being filed by each of the following persons (together, the Reporting Persons): Ares Trading SA, the direct beneficial owner of the shares, Merck Serono SA, Aubonne, Switzerland, an affiliate of Merck KGaA, Darmstadt, Germany, an indirect beneficial owner of the shares, and Merck KGaA, Darmstadt, Germany, an indirect beneficial owner of the shares. Ares Trading SA is a dominantly controlled subsidiary of Merck Serono SA, Aubonne, Switzerland, an affiliate of Merck KGaA, Darmstadt, Germany. Merck Serono SA, Aubonne, Switzerland is a wholly owned I indirect subsidiary of Merck KGaA, Darmstadt, Germany. Merck KGaA, Darmstadt, Germany is a publicly traded company (Frankfurt Stock Exchange, DAX 30) and the beneficiary of the two companies. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ares Trading S.A. RUE DE L'OURIETTE 151 ZONE INDUSTRIELLE DE L'OURIETTAZ AUBONNE, V8 1170 |
| X |
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Signatures
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/s/ Cedric Hyde, Authorized Signatory of Merck Serono SA | | 8/17/2021 |
**Signature of Reporting Person | Date |
/s/ Florence Jolidon, Authorized Signatory of Merck Serono SA | | 8/17/2021 |
**Signature of Reporting Person | Date |
/s/ Cedric Hyde, Authorized Signatory of Ares Trading SA | | 8/17/2021 |
**Signature of Reporting Person | Date |
/s/ Tearaboth Te, Authorized Signatory of Ares Trading SA | | 8/17/2021 |
**Signature of Reporting Person | Date |
/s/ Andreas Stickler, Authorized Signatory of Merck KGaA | | 8/17/2021 |
**Signature of Reporting Person | Date |
/s/ Tobias Greven, Authorized Signatory of Merck KGaA | | 8/17/2021 |
**Signature of Reporting Person | Date |
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