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XON Intrexon Corporation

4.65
0.00 (0.00%)
14 Jun 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Intrexon Corporation NASDAQ:XON NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 4.65 4.63 4.73 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

02/04/2020 10:05pm

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 *

KIRK RANDAL J
2. Issuer Name and Ticker or Trading Symbol

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

__X__ Director                    __X__ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Executive Chairman
(Last)          (First)          (Middle)

C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

3/31/2020
(Street)

RADFORD, VA 24141
(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 3/31/2020  A  76628 (1)A$2.61 (1)10588601 I by R.J. Kirk DOT (2)
Common Stock         144481 I by Spouse 
Common Stock         16406828 I by Sunset 2020 (2)
Common Stock         367560 I by JPK 2008 (2)
Common Stock         1675873 I by JPK 2009 (2)
Common Stock         1316798 I by JPK 2012 (2)
Common Stock         366548 I by MGK 2008 (2)
Common Stock         1832054 I by MGK 2009 (2)
Common Stock         1299267 I by MGK 2011 (2)
Common Stock         337234 I by ZSK 2008 (2)
Common Stock         151802 I by ZSK 2009 (2)
Common Stock         182200 I by Kellie L. Banks LTT (2)
Common Stock         975084 I by Sr. Staff 2015 (2)
Common Stock         975084 I by Staff 2015 (2)
Common Stock         14140139 I by Kapital Joe (2)
Common Stock         8325000 I by TSCP V (3)
Common Stock         311287 I by Staff 2001 (3)
Common Stock         1403 I by Lotus (3)
Common Stock         118266 I by Senior Staff 2006 (3)
Common Stock         59133 I by Staff 2006 (3)
Common Stock         19711 I by Incentive 2006 (3)
Common Stock         5483957 I by Mascara Kaboom (3)
Common Stock         58800 I by Sr. Staff (3)
Common Stock         213805 I by ADC 2010 (3)
Common Stock         1356648 I by Senior Staff 2008 (3)
Common Stock         1356648 I by Staff 2010 (3)
Common Stock         1142759 I by Incentive 2010 (3)
Common Stock         13340645 I by NRM VI Holdings (3)
Common Stock         243001 I by NRM VI Holdings (3)

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

Explanation of Responses:
(1) In accordance with the Restricted Stock Unit Agreement dated April 1, 2019 between Precigen, Inc. ("Precigen"), formerly Intrexon Corporation, and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Precigen common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Precigen common stock are to become vested and payable based upon the volume-weighted average of the price of the common stock of Precigen (as calculated by Bloomberg) over the 30-day period ending on the last calendar day of the month. Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.
(2) Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. DOT"), Sunset 2020 LLC ("Sunset 2020"), JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), ZSK 2008, LLC ("ZSK 2008"), ZSK 2009, LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), and Kapital Joe, LLC ("Kapital Joe"). 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) Randal J. Kirk controls each of Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 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"), Third Security Incentive 2010 LLC ("Incentive 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 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE
RADFORD, VA 24141
XXExecutive Chairman

Signatures
/s/ Randal J. Kirk4/2/2020
**Signature of Reporting PersonDate

1 Year Intrexon Chart

1 Year Intrexon Chart

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1 Month Intrexon Chart