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PGEN Precigen Inc

1.39
-0.01 (-0.71%)
Last Updated: 18:32:54
Delayed by 15 minutes
Share Name Share Symbol Market Type
Precigen Inc NASDAQ:PGEN NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.01 -0.71% 1.39 1.39 1.40 1.41 1.38 1.39 210,508 18:32:54

Statement of Changes in Beneficial Ownership (4)

04/01/2022 10:10pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Perez Jeffrey Thomas
2. Issuer Name and Ticker or Trading Symbol

PRECIGEN, INC. [ PGEN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
SVP, IP Affairs
(Last)          (First)          (Middle)

20374 SENECA MEADOWS PARKWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

1/2/2022
(Street)

GERMANTOWN, MD 20876
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 1/2/2022  M  9765 A (1)312283 D  
Common Stock 1/3/2022  S(2)  5022 D$3.6701 307261 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)1/2/2022  M     9765   (3) (3)Common Stock 9765 $0 0 D  

Explanation of Responses:
(1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.
(2) This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.
(3) The RSUs were granted on January 2, 2018 and have vested in full.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Perez Jeffrey Thomas
20374 SENECA MEADOWS PARKWAY
GERMANTOWN, MD 20876


SVP, IP Affairs

Signatures
/s/ Jeffrey T. Perez, by Donald P. Lehr, as attorney-in-fact1/4/2022
**Signature of Reporting PersonDate

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