Statement of Changes in Beneficial Ownership (4)
January 05 2022 - 5:58PM
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
*
KIRK RANDAL J |
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)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2022 |
(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 | 1/4/2022 | | M | | 3444 | A | (1) | 18741568 | I | by R.J. Kirk DOT (2) |
Common Stock | | | | | | | | 1000000 | I | by Parkview 2020 (2) |
Common Stock | | | | | | | | 479857 | I | by JPK 2008 (2) |
Common Stock | | | | | | | | 3597953 | I | by JPK 2009 (2) |
Common Stock | | | | | | | | 1612186 | I | by JPK 2012 (2) |
Common Stock | | | | | | | | 447405 | I | by Kellie L. Banks LTT (2) |
Common Stock | | | | | | | | 478894 | I | by MGK 2008 (2) |
Common Stock | | | | | | | | 3838992 | I | by MGK 2009 (2) |
Common Stock | | | | | | | | 1594863 | I | by MGK 2011 (2) |
Common Stock | | | | | | | | 567535 | I | by ZSK 2008 (2) |
Common Stock | | | | | | | | 342685 | I | by ZSK 2009 (2) |
Common Stock | | | | | | | | 213805 | I | by ADC 2010 (2) |
Common Stock | | | | | | | | 1144481 | I | by Spouse |
Common Stock | | | | | | | | 13520789 | I | by Kapital Joe (2) |
Common Stock | | | | | | | | 1403 | I | by Lotus (2) |
Common Stock | | | | | | | | 16406828 | I | by Sunset 2020 (2)(3) |
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 |
Restricted Stock Units | (1) | 1/4/2022 | | M | | 3444 | | (1) | (1) | Common Stock | 3444 | $0 | 3444 | I | by R.J. Kirk DOT (2) |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. |
(2) | 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. |
(3) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD, VA 24141 | X | X |
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Signatures
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/s/ Randal J. Kirk | | 1/5/2022 |
**Signature of Reporting Person | Date |
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