Form Type: 4

SEC EDGAR Link
Acccession Number:0001567619-20-006868
Date:2020-03-19
Issuer: PRECIGEN, INC. (PGEN)
Original Submission Date:

Reporting Person:

KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE RADFORD, VA 24141

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-19 P 500,000 a $1.87 10,011,973 indirect f2
COMMON STOCK 2020-03-19 P 79,664 a $2.05 10,091,637 indirect f2
COMMON STOCK 2020-03-20 P 420,336 a $2.72 10,511,973 indirect f2
COMMON STOCK 0 $0.00 16,406,828 indirect f2
COMMON STOCK 0 $0.00 367,560 indirect f2
COMMON STOCK 0 $0.00 1,675,873 indirect f2
COMMON STOCK 0 $0.00 1,316,798 indirect f2
COMMON STOCK 0 $0.00 366,548 indirect f2
COMMON STOCK 0 $0.00 1,832,054 indirect f2
COMMON STOCK 0 $0.00 1,299,267 indirect f2
COMMON STOCK 0 $0.00 337,234 indirect f2
COMMON STOCK 0 $0.00 151,802 indirect f2
COMMON STOCK 0 $0.00 182,200 indirect f2
COMMON STOCK 0 $0.00 975,084 indirect f2
COMMON STOCK 0 $0.00 975,084 indirect f2
COMMON STOCK 0 $0.00 14,140,139 indirect f2
COMMON STOCK 0 $0.00 8,325,000 indirect f3
COMMON STOCK 0 $0.00 311,287 indirect f3
COMMON STOCK 0 $0.00 1,403 indirect f3
COMMON STOCK 0 $0.00 118,266 indirect f3
COMMON STOCK 0 $0.00 59,133 indirect f3
COMMON STOCK 0 $0.00 19,711 indirect f3
COMMON STOCK 0 $0.00 5,483,957 indirect f3
COMMON STOCK 0 $0.00 58,800 indirect f3
COMMON STOCK 0 $0.00 213,805 indirect f3
COMMON STOCK 0 $0.00 1,356,648 indirect f3
COMMON STOCK 0 $0.00 1,356,648 indirect f3
COMMON STOCK 0 $0.00 1,142,759 indirect f3
COMMON STOCK 0 $0.00 13,340,645 indirect f3
COMMON STOCK 0 $0.00 243,001 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 effective march 17, 2020, third security, llc, transferred 3,188,586 shares of common stock of the issuer to sunset 2020, llc, a delaware limited liability company that is wholly owned and managed by randal j. kirk ("sunset 2020"). additionally, effective march 17, 2020, r.j. kirk declaration of trust ("r.j. dot") transferred 13,218,242 shares of common stock of the issuer to sunset 2020.
f2 randal j. kirk controls each of r.j. dot, 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.
f3 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.

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