Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-21-011765
Date:2021-06-03
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 2021-06-03 J 354,557 a $0.00 18,684,553 indirect f3
COMMON STOCK 2021-06-03 J 5,663 a $0.00 479,857 indirect f3
COMMON STOCK 2021-06-03 J 56,638 a $0.00 3,597,953 indirect f3
COMMON STOCK 2021-06-03 J 22,655 a $0.00 1,612,186 indirect f3
COMMON STOCK 2021-06-03 J 3,398 a $0.00 447,405 indirect f3
COMMON STOCK 2021-06-03 J 5,663 a $0.00 478,894 indirect f3
COMMON STOCK 2021-06-03 J 56,638 a $0.00 3,838,992 indirect f3
COMMON STOCK 2021-06-03 J 22,655 a $0.00 1,594,863 indirect f3
COMMON STOCK 2021-06-03 J 5,663 a $0.00 567,535 indirect f3
COMMON STOCK 2021-06-03 J 4,531 a $0.00 342,685 indirect f3
COMMON STOCK 2021-06-03 J 14,159 a $0.00 989,243 indirect f3
COMMON STOCK 2021-06-03 J 14,168 a $0.00 989,252 indirect f3
COMMON STOCK 2021-06-03 0 $0.00 1,592,206 indirect f3
COMMON STOCK 2021-06-03 0 $0.00 1,383,858 indirect f3
COMMON STOCK 2021-06-03 0 $0.00 2,976,063 indirect f3
COMMON STOCK 2021-06-03 0 $0.00 691,929 indirect f3
COMMON STOCK 2021-06-03 0 $0.00 1,260,538 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 213,805 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 14,140,139 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 311,287 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 58,800 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 1,403 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 59,133 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 118,266 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 19,711 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 4,995,000 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 2,497,500 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 832,500 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 16,406,828 indirect f4
COMMON STOCK 2021-06-03 0 $0.00 1,144,481 indirect
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 on june 3, 2021, the indicated number of shares were received as a distribution of issuer common stock from the harvest intrexon enterprise fund i lp.
f2 on june 3, 2021, the indicated number of shares were received as a distribution of issuer common stock from the harvest intrexon enterprise fund i (ai) lp.
f3 randal j. kirk controls each of r.j. kirk declaration of trust ("r.j. kirk dot"), 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"), third security senior staff 2015 llc ("sr. staff 2015"), third security staff 2015 llc ("staff 2015"), third security staff 2010 llc ("staff 2010"), third security staff 2009 llc ("staff 2009"), third security senior staff 2008 llc ("sr. staff 2008"), and third security incentive 2009 llc ("incentive 2009"). 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.
f4 randal j. kirk controls each of third security incentive 2010 llc ("incentive 2010"), adc 2010, llc ("adc 2010"), kapital joe, llc ("kapital joe"), third security staff 2001 llc ("staff 2001"), third security senior staff llc ("sr. staff"), lotus capital (2000) company, inc. ("lotus"), third security staff 2006 llc ("staff 2006"), third security senior staff 2006 llc ("sr. staff 2006"), third security incentive 2006 llc ("incentive 2006"), third security senior staff 2007 llc ("sr. staff 2007"), third security staff 2007 llc ("staff 2007"), third security incentive 2007 llc ("incentive 2007"), 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.

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