# EDGAR Filing Document

**Accession Number:** 0001091823
**File Stem:** 0001567619-23-003795
**Filing Date:** 2023-2
**Character Count:** 10214
**Document Hash:** 35d5345f50a59ee67610bb6099ae9d38
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001567619-23-003795.hdr.sgml**: 20230224

**ACCESSION NUMBER**: 0001567619-23-003795

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230222

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230224

**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:** 23669497

**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

### 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>2023-02-22 | **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 | 2023-02-22 |  | M |  | 123152 | A | 0<sup>(1)</sup> | 31252316 | I | by R.J. Kirk DOT<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 490401 | I | by JPK 2008<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 3703398 | I | by JPK 2009<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1654363 | I | by JPK 2012<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 489438 | I | by MGK 2008<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 3944437 | I | by MGK 2009<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1637040 | I | by MGK 2011<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 578079 | I | by ZSK 2008<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 351120 | I | by ZSK 2009<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 453731 | I | by Kellie L. Banks LTT<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1015604 | I | by Sr. Staff 2015<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1015626 | I | by Staff 2015<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1000000 | I | by Parkview 2020<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1144481 | I | by Spouse |
| Common Stock |  |  |  |  |  |  |  | 13520789 | I | by Kapital Joe<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1403 | I | by Lotus<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 16406828 | I | by Sunset 2020<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1839946 | I | by Staff 2010<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1383858 | I | by Staff 2009<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 3223803 | I | by Sr. Staff 2008<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 691929 | I | by Incentive 2009<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1384408 | I | by Incentive 2010<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 311287 | I | by Staff 2001<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 58800 | I | by Sr. Staff<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 59133 | I | by Staff 2006<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 118266 | I | by Sr. Staff 2006<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 19711 | I | by Incentive 2006<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 4995000 | I | by Sr. Staff 2007<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2497500 | I | by Staff 2007<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 832500 | I | by Incentive 2007<sup>(3)</sup> |

---

## 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 |
| Restricted Stock Units | <sup>(1)</sup> | 2023-02-22 |  | M |  |  | 123152 | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 123152 | $0 | 0 | I | by R.J Kirk DOT<sup>(2)</sup> |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on February 22, 2022 and vested in their entirety on the one-year anniversary of the date of grant.

(2) 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.

(3) 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.

**Signature:** /s/  Randal J. Kirk  
**Date:** 2023-02-24

### 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.**