0001567619-23-000629.txt : 20230106 0001567619-23-000629.hdr.sgml : 20230106 20230106161705 ACCESSION NUMBER: 0001567619-23-000629 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230104 FILED AS OF DATE: 20230106 DATE AS OF CHANGE: 20230106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36042 FILM NUMBER: 23515285 MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRECIGEN, INC. CENTRAL INDEX KEY: 0001356090 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20374 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 BUSINESS PHONE: 301-556-9900 MAIL ADDRESS: STREET 1: 20374 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 FORMER COMPANY: FORMER CONFORMED NAME: INTREXON CORP DATE OF NAME CHANGE: 20060313 4 1 doc1.xml FORM 4 X0306 4 2023-01-04 0 0001356090 PRECIGEN, INC. PGEN 0001091823 KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD VA 24141 1 0 1 0 Common Stock 2023-01-04 4 M 0 3443 A 19700593 I by R.J. Kirk DOT Common Stock 490401 I by JPK 2008 Common Stock 3703398 I by JPK 2009 Common Stock 1654363 I by JPK 2012 Common Stock 489438 I by MGK 2008 Common Stock 3944437 I by MGK 2009 Common Stock 1637040 I by MGK 2011 Common Stock 578079 I by ZSK 2008 Common Stock 351120 I by ZSK 2009 Common Stock 453731 I by Kellie L. Banks LTT Common Stock 1015604 I by Sr. Staff 2015 Common Stock 1015626 I by Staff 2015 Common Stock 1000000 I by Parkview 2020 Common Stock 1144481 I by Spouse Common Stock 13520789 I by Kapital Joe Common Stock 1403 I by Lotus Common Stock 16406828 I by Sunset 2020 Common Stock 1839946 I by Staff 2010 Common Stock 1383858 I by Staff 2009 Common Stock 3223803 I by Sr. Staff 2008 Common Stock 691929 I by Incentive 2009 Common Stock 1384408 I by Incentive 2010 Common Stock 311287 I by Staff 2001 Common Stock 58800 I by Sr. Staff Common Stock 59133 I by Staff 2006 Common Stock 118266 I by Sr. Staff 2006 Common Stock 19711 I by Incentive 2006 Common Stock 4995000 I by Sr. Staff 2007 Common Stock 2497500 I by Staff 2007 Common Stock 832500 I by Incentive 2007 Restricted Stock Units 2023-01-04 4 M 0 3443 0 D Common Stock 3443 0 I by R.J. Kirk DOT Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. 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"), 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"), Parkview 2020 Limited Partnership ("Parkview 2020"), 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. Randal J. Kirk controls each of Third Security Staff 2010 LLC ("Staff 2010"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Incentive 2009 LLC ("Incentive 2009"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), 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"), and Third Security Incentive 2007 LLC ("Incentive 2007"). 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. /s/ Randal J. Kirk 2023-01-06