Form 4 for PGEN PRECIGEN, INC.
Accepted 2024-05-03 00:00:00 ET · period of report 2024-05-02 · accession 0001213900-24-039855 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2024-05-03 | 2024-05-02 | PGEN | KIRK RANDAL J | Dir, 10% | J - Other | $0.00 | -4.47M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-05-02 | J | A | 8,896,412 | $0.00 | 41,017,803 | I by R.J. Kirk DOT | — | — | (F3) R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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. (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 2 | Common | Common Stock | 2024-05-02 | J | A | 6,085,471 | $0.00 | 6,085,471 | I by Third Security | — | — | (F3) R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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. (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 3 | Common | Common Stock | 2024-05-02 | J | D | 1,383,858 | $0.00 | 0 | I by Staff 2009 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 4 | Common | Common Stock | 2024-05-02 | J | D | 832,500 | $0.00 | 0 | I by Incentive 2007 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 5 | Common | Common Stock | 2024-05-02 | J | D | 2,497,500 | $0.00 | 0 | I by Staff 2007 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 6 | Common | Common Stock | 2024-05-02 | J | D | 691,929 | $0.00 | 0 | I by Incentive 2009 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 7 | Common | Common Stock | 2024-05-02 | J | D | 19,711 | $0.00 | 0 | I by Incentive 2006 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 8 | Common | Common Stock | 2024-05-02 | J | D | 59,133 | $0.00 | 0 | I by Staff 2006 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 9 | Common | Common Stock | 2024-05-02 | J | D | 118,266 | $0.00 | 0 | I by Sr. Staff 2006 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 10 | Common | Common Stock | 2024-05-02 | J | D | 8,790,674 | $0.00 | 0 | I by Staff 2001 | — | — | (F2) On May 2, 2024, in connection with the liquidation of the Staff LLCs, the following entities transferred all shares of the issuer held by the entity to Third Security Staff 2001 LLC in satisfaction of certain intercompany debt (an aggregate of 8,479,387 shares): Third Security Senior Staff 2008 LLC ("Sr. Staff 08"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Senior Staff 2015 LLC ("Sr. Staff 15"), and Third Security Staff 2015 LLC ("Staff 2015"). (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 11 | Common | Common Stock | 2024-05-02 | J | D | 58,800 | $0.00 | 0 | I by Sr. Staff | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |
| 12 | Common | Common Stock | 2024-05-02 | J | D | 4,995,000 | $0.00 | 0 | I by Sr. Staff 2007 | — | — | (F1) On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("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"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer. |