Filing Details

Accession Number:
0001140361-23-040174
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-08-17 08:19:44
Reporting Period:
2023-08-15
Accepted Time:
2023-08-17 08:19:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1356090 Precigen Inc. PGEN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1091823 J Randal Kirk C/O Third Security, Llc
1881 Grove Avenue
Radford VA 24141
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-08-15 100,000 $1.50 31,437,786 No 4 P Indirect by R.J. Kirk DOT
Common Stock Acquisiton 2023-08-15 80,589 $1.53 31,518,375 No 4 P Indirect by R.J. Kirk DOT
Common Stock Acquisiton 2023-08-15 200,000 $1.52 31,718,375 No 4 P Indirect by R.J. Kirk DOT
Common Stock Acquisiton 2023-08-16 119,411 $1.51 31,837,786 No 4 P Indirect by R.J. Kirk DOT
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect by R.J. Kirk DOT
No 4 P Indirect by R.J. Kirk DOT
No 4 P Indirect by R.J. Kirk DOT
No 4 P Indirect by R.J. Kirk DOT
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 490,401 Indirect by JPK 2008
Common Stock 3,703,398 Indirect by JPK 2009
Common Stock 1,654,363 Indirect by JPK 2012
Common Stock 489,438 Indirect by MGK 2008
Common Stock 3,944,437 Indirect by MGK 2009
Common Stock 1,637,040 Indirect by MGK 2011
Common Stock 578,079 Indirect by ZSK 2008
Common Stock 351,120 Indirect by ZSK 2009
Common Stock 453,731 Indirect by Kellie L. Banks LTT
Common Stock 1,015,604 Indirect by Sr. Staff 2015
Common Stock 1,015,626 Indirect by Staff 2015
Common Stock 1,000,000 Indirect by Parkview 2020
Common Stock 1,144,481 Indirect by Spouse
Common Stock 13,520,789 Indirect by Kapital Joe
Common Stock 1,403 Indirect by Lotus
Common Stock 16,406,828 Indirect by Sunset 2020
Common Stock 1,839,946 Indirect by Staff 2010
Common Stock 1,383,858 Indirect by Staff 2009
Common Stock 3,223,803 Indirect by Sr. Staff 2008
Common Stock 691,929 Indirect by Incentive 2009
Common Stock 1,384,408 Indirect by Incentive 2010
Common Stock 311,287 Indirect by Staff 2001
Common Stock 58,800 Indirect by Sr. Staff
Footnotes
  1. 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.
  2. 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"), and Third Security Senior Staff LLC ("Sr. Staff"). 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. Due to row limitations, this filing is comprised of two (2) Forms 4. Additional details are reported on a separate Form 4 filed with the SEC on August 17, 2023.