Statement of Changes in Beneficial Ownership (4)
May 15 2019 - 5:51PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
KIRK RANDAL J
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2. Issuer Name
and
Ticker or Trading Symbol
INTREXON CORP
[
XON
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2019
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(Street)
RADFORD, VA 24141
(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
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5/13/2019
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P
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150773
(1)
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A
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$4.25
(1)
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196985
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I
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by Sr. Staff 2015
(2)
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Common Stock
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5/14/2019
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P
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59000
(1)
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A
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$4.37
(1)
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255985
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I
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by Sr. Staff 2015
(2)
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Common Stock
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5/15/2019
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P
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125620
(1)
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A
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$4.59
(1)
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381605
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I
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by Sr. Staff 2015
(2)
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Common Stock
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5/13/2019
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P
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150773
(1)
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A
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$4.25
(1)
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196985
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I
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by Staff 2015
(2)
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Common Stock
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5/14/2019
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P
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59000
(1)
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A
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$4.37
(1)
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255985
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I
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by Staff 2015
(2)
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Common Stock
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5/15/2019
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P
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125620
(1)
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A
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$4.59
(1)
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381605
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I
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by Staff 2015
(2)
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Common Stock
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5/13/2019
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P
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75386
(1)
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A
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$4.25
(1)
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753709
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I
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by Incentive 2010
(2)
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Common Stock
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5/14/2019
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P
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29500
(1)
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A
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$4.37
(1)
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783209
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I
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by Incentive 2010
(2)
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Common Stock
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5/15/2019
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P
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62810
(1)
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A
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$4.59
(1)
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846019
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I
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by Incentive 2010
(2)
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Common Stock
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2091141
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I
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by Third Security
(2)
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Common Stock
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14140139
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I
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by Kapital Joe
(2)
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Common Stock
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8325000
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I
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by TSCP V
(2)
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Common Stock
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311287
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I
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by Staff 2001
(2)
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Common Stock
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1403
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I
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by Lotus
(2)
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Common Stock
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19711
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I
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by Incentive 2006
(2)
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Common Stock
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118266
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I
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by Senior Staff 2006
(2)
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Common Stock
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59133
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I
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by Staff 2006
(2)
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Common Stock
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5483957
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I
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by Mascara Kaboom
(2)
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Common Stock
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58800
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I
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by Sr. Staff
(2)
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Common Stock
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213805
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I
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by ADC 2010
(2)
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Common Stock
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1356648
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I
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by Senior Staff 2008
(2)
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Common Stock
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1356648
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I
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by Staff 2010
(2)
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Common Stock
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13340645
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I
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by NRM VI Holdings
(2)
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Common Stock
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243001
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I
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by NRM VII Holdings
(2)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.
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(2)
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Randal J. Kirk controls each of Sr. Staff 2015, Staff 2015, Incentive 2010, Third Security, LLC ("Third Security"), Kapital Joe, LLC ("Kapital Joe"), Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 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"), 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 t
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE
RADFORD, VA 24141
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X
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X
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Chief Executive Officer
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Signatures
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/s/ Randal J. Kirk
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5/15/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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