ARMP

SEC source: 0001144204-19-028259 · tv522365_4.xml · derivative · entry 1

Patrick Todd · CIK 0001762285 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,724

Underlying: Common Stock · 298,724 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028254 · tv522359_4.xml · derivative · entry 1

PARKER H STEWART · CIK 0001217456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028257 · tv522363_4.xml · derivative · entry 1

PATTI JOSEPH M · CIK 0001283215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028258 · tv522364_4.xml · derivative · entry 1

Morris Duane Alfred · CIK 0001774205 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,681

Underlying: Common Stock · 74,681 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028262 · tv522369_4.xml · derivative · entry 1

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028256 · tv522362_4.xml · derivative · entry 1

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028253 · tv522358_4.xml · derivative · entry 1

BASTIANI RICHARD · CIK 0001202053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001104659-20-022092 · tm208184-5_form5.xml · derivative · entry 1

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 46,666 shares

Expires 2021-11-22

F4 · derivative.exercise_price: Price reported is reflective of adjustments made after the date of issuance pursuant the terms of the warrant.

F1 · kind: The reported securities were redeemed by the issuer for $12,065.46.

F2 · derivative.underlying_shares: The number of shares of common stock for which the warrant was exercisable does not reflect the 1-for-14 reverse stock split that was effected on May 9, 2019.

F3 · ownership.nature: The warrant was held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001104659-20-022091 · tm208184-6_form5.xml · derivative · entry 1

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 46,666 shares

Expires 2021-11-22

F4 · derivative.exercise_price: Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.

F1 · kind: The reported securities were redeemed by the issuer for $12,065.46.

F2 · derivative.underlying_shares: The number of shares of common stock for which the warrant was exercisable does not reflect the 1-for-14 reverse stock split that was effected on May 9, 2019.

F3 · ownership.nature: The warrant was held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-021679 · doc4.xml · nonDerivative · entry 3

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 411,105

F3 · ownership.nature: The shares are held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-021678 · doc4.xml · nonDerivative · entry 5

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 411,105

F2 · ownership.nature: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-065259 · doc4.xml · nonDerivative · entry 1

GRINT PAUL C · CIK 0001236548 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599

F1 · timeliness: These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-18-021679 · doc4.xml · nonDerivative · entry 2

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 229,285

F1 · price: The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.

F3 · ownership.nature: The shares are held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-021678 · doc4.xml · nonDerivative · entry 4

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 229,285

F1 · price: The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.

F2 · ownership.nature: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-052312 · doc4.xml · derivative · entry 1

Johnson Wendy S. · CIK 0001652822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Underlying: Common Stock · 10,900 shares

Expires 2027-09-06

SEC source: 0001209191-17-052311 · doc4.xml · derivative · entry 1

DRAPEAU LOUIS · CIK 0001248091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Underlying: Common Stock · 10,900 shares

Expires 2027-09-06

SEC source: 0001209191-17-052310 · doc4.xml · derivative · entry 1

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Underlying: Common Stock · 10,900 shares

Expires 2027-09-06

SEC source: 0001209191-17-052309 · doc4.xml · derivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,000

Underlying: Common Stock · 139,000 shares

Expires 2027-09-06

F1 · derivative.exercise_date: 1/4th of the shares subject to the option vest on September 7, 2018. The remainder of the shares vest in equal monthly installments thereafter over the next three years.

SEC source: 0001209191-17-052308 · doc4.xml · derivative · entry 2

GRINT PAUL C · CIK 0001236548 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,113

Underlying: Common Stock · 285,113 shares

Expires 2027-09-06

F2 · derivative.exercise_date: 100% of the shares subject to the stock option shall vest and become exercisable on September 5, 2027, subject to earlier vesting upon the satisfaction of performance criteria.

SEC source: 0001209191-17-052308 · doc4.xml · derivative · entry 1

GRINT PAUL C · CIK 0001236548 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,076

Underlying: Common Stock · 190,076 shares

Expires 2027-09-06

F1 · derivative.exercise_date: 1/4th of the shares subject to the option vest on September 7, 2018. The remainder of the shares vest in equal monthly installments thereafter over the next three years.

SEC source: 0001209191-17-052469 · doc4.xml · derivative · entry 1

SAMANT VIJAY B · CIK 0001198238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Underlying: Common Stock · 10,900 shares

Expires 2027-09-06

SEC source: 0001209191-17-052468 · doc4.xml · derivative · entry 1

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Underlying: Common Stock · 10,900 shares

Expires 2027-09-06

SEC source: 0001209191-18-021679 · doc4.xml · nonDerivative · entry 1

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 124,270

F1 · price: The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.

F2 · balance_after: The reporting person acquired beneficial ownership of these shares upon his appointment as a Managing Director of Bioscience Managers Pty Ltd. in April 2017. Bioscience Managers Pty Ltd. is an affiliate of One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management").

F3 · ownership.nature: The shares are held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-021678 · doc4.xml · nonDerivative · entry 3

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 124,270

F1 · price: The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.

F2 · ownership.nature: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-036961 · doc4.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,161

Underlying: Common Stock · 87,161 shares

Expires 2027-05-29

F1 · derivative.exercise_date: 1/4th of the shares subject to the option vest on May 30, 2018. The remainder of the shares vest in equal monthly installments thereafter over the next three years.

SEC source: 0001209191-17-025164 · doc4.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,411

Underlying: Common Stock · 176,411 shares

Expires 2021-03-31

F1 · derivative.exercise_date: The shares subject to the option are 100% vested and exercisable as of the date of grant.

SEC source: 0001209191-17-025162 · doc4.xml · derivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,290

Underlying: Common Stock · 161,290 shares

Expires 2021-03-31

F1 · derivative.exercise_date: The shares subject to the option are 100% vested and exercisable as of the date of grant.

SEC source: 0001209191-17-025160 · doc4.xml · derivative · entry 1

Salka Michael Scott · CIK 0001542981 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,214

Underlying: Common Stock · 214,214 shares

Expires 2021-03-31

F1 · derivative.exercise_date: The shares subject to the option are 100% vested and exercisable as of the date of grant.

SEC source: 0001209191-17-006329 · doc4.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,322

Underlying: Common Stock · 247,322 shares

Expires 2027-01-29

F1 · derivative.exercise_date: 1/4th of the shares subject to the option vest on January 30, 2018. The remainder of the shares vest in equal monthly installments thereafter over the next three years.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 6

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 674,169

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly 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.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 3

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by NRM VII Holdings

Disclosed balance after: 736,170

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2 · ownership.nature: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly 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.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 5

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 694,246

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly 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.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 2

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by NRM VII Holdings

Disclosed balance after: 758,093

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2 · ownership.nature: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly 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.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 4

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 734,696

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly 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.

SEC source: 0001140361-16-091123 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by NRM VII Holdings

Disclosed balance after: 802,263

F1 · shares: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2 · ownership.nature: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly 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.

SEC source: 0001209191-16-154878 · doc4.xml · nonDerivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,760

F1 · timeliness: These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-16-154877 · doc4.xml · nonDerivative · entry 1

Salka Michael Scott · CIK 0001542981 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,200

F1 · timeliness: These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-18-021678 · doc4.xml · derivative · entry 7

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,666

Underlying: Common Stock · 46,666 shares

Expires 2021-11-22

F3 · derivative.exercise_price: Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.

F4 · derivative.exercise_date: Immediately exercisable.

F5 · ownership.nature: The warrant is held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the securities beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-021678 · doc4.xml · nonDerivative · entry 2

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 118,513

F2 · ownership.nature: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001140361-16-086987 · doc1.xml · derivative · entry 3

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by NRM VII Holdings

Disclosed balance after: 0

Underlying: Common Stock · 428,571 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: In connection with the automatic conversion of Series B Convertible Preferred Stock the shares were automatically converted at a ratio of 1-to-5. Shares of Series B Convertible Preferred Stock had no expiration date.

F1 · date: On November 12, 2016, NRM VII Holdings I, LLC ("NRM VII Holdings") and the issuer entered into a settlement agreement with respect to the lawsuit filed against the issuer and the members of its Board of Directors relating to the automatic conversion of Series B Convertible Preferred Stock.

F4 · shares: In connection with the automatic conversion of Series B Convertible Preferred Stock the shares were automatically converted at a ratio of 1-to-5. Shares of Series B Convertible Preferred Stock had no expiration date.

F4 · price: In connection with the automatic conversion of Series B Convertible Preferred Stock the shares were automatically converted at a ratio of 1-to-5. Shares of Series B Convertible Preferred Stock had no expiration date.

F4 · derivative.exercise_date: In connection with the automatic conversion of Series B Convertible Preferred Stock the shares were automatically converted at a ratio of 1-to-5. Shares of Series B Convertible Preferred Stock had no expiration date.

F4 · derivative.expiration_date: In connection with the automatic conversion of Series B Convertible Preferred Stock the shares were automatically converted at a ratio of 1-to-5. Shares of Series B Convertible Preferred Stock had no expiration date.

F2 · ownership.nature: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly 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.

SEC source: 0001140361-16-086987 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by NRM VII Holdings

Disclosed balance after: 828,571

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: On November 12, 2016, NRM VII Holdings I, LLC ("NRM VII Holdings") and the issuer entered into a settlement agreement with respect to the lawsuit filed against the issuer and the members of its Board of Directors relating to the automatic conversion of Series B Convertible Preferred Stock.

F2 · ownership.nature: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly 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.

SEC source: 0001209191-18-021678 · doc4.xml · nonDerivative · entry 1

COOK JEREMY CURNOCK · CIK 0001216486 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 71,847

F1 · price: The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.

F2 · ownership.nature: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.