# EDGAR Filing Document

**Accession Number:** 0001091823
**File Stem:** 0001213900-25-089726
**Filing Date:** 2025-9
**Character Count:** 9796
**Document Hash:** 52eb61dc9279e1449bd3fd7d8de2bd12
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-25-089726.hdr.sgml**: 20250919

**ACCESSION NUMBER**: 0001213900-25-089726

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250917

**FILED AS OF DATE**: 20250919

**DATE AS OF CHANGE**: 20250919

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** KIRK RANDAL J
- **CENTRAL INDEX KEY:** 0001091823

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36042
- **FILM NUMBER:** 251328234

**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]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>KIRK RANDAL J<br><sub>(Last) (First) (Middle)</sub><br>C/O THIRD SECURITY, LLC<br>1881 GROVE AVENUE<br><sub>(Street)</sub><br>RADFORD, VA 24141<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-09-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PRECIGEN, INC. [ PGEN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-09-17 |  | M |  | 17385257<sup>(1)</sup> | A | <sup>(1)</sup> | 82164767 | I | by R.J. Kirk DOT<sup>(4)</sup> |
| Common Stock | 2025-09-18 |  | S |  | 1403360 | D | 3.86<sup>(2)</sup> | 12117429 | I | by Kapital Joe<sup>(4)</sup> |
| Common Stock | 2025-09-19 |  | S |  | 3596892 | D | 3.68<sup>(3)</sup> | 8520537 | I | by Kapital Joe<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1096686 | I | by Parkview 2020<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 490401 | I | by JPK 2008<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 3703398 | I | by JPK 2009<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1654363 | I | by JPK 2012<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 489438 | I | by MGK 2008<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 3944437 | I | by MGK 2009<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1637040 | I | by MGK 2011<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 578079 | I | by ZSK 2008<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 351120 | I | by ZSK 2009<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 453731 | I | by Kellie L. Banks LTT<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1403 | I | by Lotus<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 16406828 | I | by Sunset 2020<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 6085471 | I | by Third Security<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1144481 | I | by Spouse |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 8.00% Series A Convertible Perpetual Preferred Stock | 1.4380<sup>(1)</sup> | 2025-09-17 |  | M |  |  | 25000 | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 17385257<sup>(1)</sup> | <sup>(1)</sup> | 0 | I | by R.J. Kirk DOT<sup>(4)</sup> |

---

### Footnotes:

(1) On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

(2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.78 to $3.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

(3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.63 to $3.79, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

(4) Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 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"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("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.

**Signature:** /s/ Randal J. Kirk  
**Date:** 2025-09-19

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**