PGEN

SEC source: 0001123292-20-001271 · edgar.xml · nonDerivative · entry 1

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,313

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001123292-20-001269 · edgar.xml · derivative · entry 3

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and have vested in full.

F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and have vested in full.

SEC source: 0001123292-20-001269 · edgar.xml · nonDerivative · entry 1

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,084

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001123292-20-001270 · edgar.xml · derivative · entry 3

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and have vested in full.

F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and have vested in full.

SEC source: 0001123292-20-001270 · edgar.xml · nonDerivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,229

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001104659-20-113680 · tm2032775-1_4.xml · nonDerivative · entry 1

Ares Trading S.A. · CIK 0001720283 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,398,519

F1 · kind: On October 7, 2020, Ares Trading S.A. converted all of the $25,000,000 outstanding principal amount of the Convertible Note issued to Ares Trading S.A. (as described in Footnote (1) to the Form 3 filed by the reporting persons on January 22, 2019) into 6,758,400 shares of Common Stock of the Issuer at a conversion price of $3.6991 per share, reflecting the volume weighted-average price per share of the Common Stock on the Nasdaq Stock Market for the consecutive ten trading days immediately prior to the conversion date.

SEC source: 0001567619-20-017148 · doc1.xml · derivative · entry 30

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 53,571

Underlying: Common Stock · 53,571 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock, and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F3 · derivative.exercise_date: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock, and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F3 · derivative.expiration_date: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock, and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

SEC source: 0001567619-20-017148 · doc1.xml · derivative · entry 29

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 74,656

Underlying: Common Stock · 74,656 shares

Expires 2030-09-24

SEC source: 0001567619-20-017148 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 13,517,050

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001123292-20-001096 · edgar.xml · nonDerivative · entry 2

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,313

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.

SEC source: 0001123292-20-001095 · edgar.xml · nonDerivative · entry 2

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,229

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.

SEC source: 0001123292-20-001094 · edgar.xml · nonDerivative · entry 2

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,084

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.

SEC source: 0001123292-20-001096 · edgar.xml · derivative · entry 3

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

SEC source: 0001123292-20-001096 · edgar.xml · nonDerivative · entry 1

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,973

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001123292-20-001095 · edgar.xml · derivative · entry 3

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

SEC source: 0001123292-20-001095 · edgar.xml · nonDerivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,889

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001123292-20-001094 · edgar.xml · derivative · entry 3

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020.

SEC source: 0001123292-20-001094 · edgar.xml · nonDerivative · entry 1

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,558

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 20

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Kellie L. Banks LTT

Disclosed balance after: 220,123

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 18

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2009

Disclosed balance after: 212,653

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 16

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2008

Disclosed balance after: 435,561

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 14

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2011

Disclosed balance after: 1,562,083

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 12

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2009

Disclosed balance after: 2,527,347

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 10

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2008

Disclosed balance after: 470,396

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 8

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2012

Disclosed balance after: 1,581,431

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 6

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2009

Disclosed balance after: 2,286,308

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 4

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2008

Disclosed balance after: 471,359

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 2

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 13,495,622

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 19

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Kellie L. Banks LTT

Disclosed balance after: 218,459

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 17

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2009

Disclosed balance after: 210,660

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 15

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2008

Disclosed balance after: 424,782

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 13

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2011

Disclosed balance after: 1,553,131

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 11

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2009

Disclosed balance after: 2,496,833

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 9

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2008

Disclosed balance after: 459,604

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 7

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2012

Disclosed balance after: 1,564,607

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 5

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2009

Disclosed balance after: 2,256,656

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 3

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2008

Disclosed balance after: 460,584

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001567619-20-015105 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 13,216,701

F2 · balance_after: On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by Mr. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 5,483,957 shares of issuer common stock to each of its members: R.J. Kirk DOT (3,065,532), JPK 2008 (71,291), MGK 2008 (71,291), ZSK 2008 (65,807), JPK 2009 (520,977), MGK 2009 (603,235), ZSK 2009 (54,840), JPK 2012 (213,875), Kellie L. Banks LTT (32,904), MGK 2011 (235,810), Senior Staff 2008 (219,358), Staff 2010 (219,358), and Incentive 2010 (109,679).

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. 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"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). 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.

SEC source: 0001123292-20-000987 · edgar.xml · nonDerivative · entry 2

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,145

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units.

SEC source: 0001123292-20-000987 · edgar.xml · derivative · entry 3

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The restricted stock units were granted on March 28, 2018 and the remaining restricted stock units vest on July 17, 2021.

F3 · derivative.expiration_date: The restricted stock units were granted on March 28, 2018 and the remaining restricted stock units vest on July 17, 2021.

SEC source: 0001123292-20-000987 · edgar.xml · nonDerivative · entry 1

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,365

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 · price: Each restricted stock unit represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001123292-20-000965 · edgar.xml · derivative · entry 2

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,968 shares

Expires 2020-06-30

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 · derivative.exercise_date: This option was immediately exercisable.

SEC source: 0001123292-20-000965 · edgar.xml · nonDerivative · entry 1

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,563

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.

SEC source: 0001123292-20-000922 · edgar.xml · derivative · entry 2

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,968 shares

Expires 2020-06-30

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 · derivative.exercise_date: This option was immediately exercisable.

SEC source: 0001123292-20-000922 · edgar.xml · nonDerivative · entry 1

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,133

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.

SEC source: 0001123292-20-000920 · edgar.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,968 shares

Expires 2020-06-30

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 · derivative.exercise_date: This option was immediately exercisable.

SEC source: 0001123292-20-000920 · edgar.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,441

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.

SEC source: 0001123292-20-000904 · edgar.xml · nonDerivative · entry 2

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,558

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.

SEC source: 0001123292-20-000903 · edgar.xml · nonDerivative · entry 2

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,973

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.

SEC source: 0001123292-20-000902 · edgar.xml · nonDerivative · entry 2

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,889

F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.