PGEN

SEC source: 0001123292-20-000572 · edgar.xml · derivative · entry 3

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,324

Underlying: Common Stock · 96,324 shares

Expires 2030-03-13

SEC source: 0001123292-20-000572 · edgar.xml · derivative · entry 2

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,189

Underlying: Common Stock · 62,189 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen, Inc. common stock.

F3 · derivative.exercise_date: The restricted stock units vest in full on March 13, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in full on March 13, 2021.

SEC source: 0001123292-20-000572 · edgar.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,609

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $62,500.

SEC source: 0001123292-20-000570 · edgar.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,324

Underlying: Common Stock · 96,324 shares

Expires 2030-03-13

SEC source: 0001123292-20-000570 · edgar.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,189

Underlying: Common Stock · 62,189 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen, Inc. common stock.

F3 · derivative.exercise_date: The restricted stock units vest in full on March 13, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in full on March 13, 2021.

SEC source: 0001123292-20-000570 · edgar.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,473

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $56,500.

SEC source: 0001123292-20-000566 · edgar.xml · derivative · entry 3

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,324

Underlying: Common Stock · 96,324 shares

Expires 2030-03-13

SEC source: 0001123292-20-000566 · edgar.xml · derivative · entry 2

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,189

Underlying: Common Stock · 62,189 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen, Inc. common stock.

F3 · derivative.exercise_date: The restricted stock units vest in full on March 13, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in full on March 13, 2021.

SEC source: 0001123292-20-000566 · edgar.xml · nonDerivative · entry 1

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,595

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $50,000.

SEC source: 0001123292-20-000565 · edgar.xml · derivative · entry 3

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,324

Underlying: Common Stock · 96,324 shares

Expires 2030-03-13

SEC source: 0001123292-20-000565 · edgar.xml · derivative · entry 2

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,189

Underlying: Common Stock · 62,189 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen, Inc. common stock.

F3 · derivative.exercise_date: The restricted stock units vest in full on March 13, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in full on March 13, 2021.

SEC source: 0001123292-20-000565 · edgar.xml · nonDerivative · entry 1

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,165

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $62,500.

SEC source: 0001123292-20-000534 · edgar.xml · derivative · entry 3

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F3 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F3 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000534 · edgar.xml · nonDerivative · entry 1

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,208

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 XON common stock.

SEC source: 0001123292-20-000537 · edgar.xml · derivative · entry 2

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000537 · edgar.xml · nonDerivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,061

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 XON common stock.

SEC source: 0001123292-20-000536 · edgar.xml · derivative · entry 2

KINDLER JEFFREY B · CIK 0001174454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000536 · edgar.xml · nonDerivative · entry 1

KINDLER JEFFREY B · CIK 0001174454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,743

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 XON common stock.

SEC source: 0001123292-20-000538 · edgar.xml · derivative · entry 3

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F3 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F3 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000538 · edgar.xml · nonDerivative · entry 1

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,194

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 XON common stock.

SEC source: 0001123292-20-000540 · 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 · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000540 · edgar.xml · nonDerivative · entry 1

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,071

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 XON common stock.

SEC source: 0001123292-20-000539 · edgar.xml · derivative · entry 2

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000539 · edgar.xml · nonDerivative · entry 1

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,720

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 XON common stock.

SEC source: 0001123292-20-000535 · 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 · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000535 · edgar.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,364

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 XON common stock.

SEC source: 0001123292-20-000533 · edgar.xml · derivative · entry 2

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,703 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 XON common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on March 8, 2020.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 8, 2020.

SEC source: 0001123292-20-000533 · edgar.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,515

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 XON common stock.

SEC source: 0001567619-20-005449 · 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: 22,730,215

F1 · shares: In accordance with the Restricted Stock Unit Agreement dated April 1, 2019 between Intrexon Corporation ("Intrexon") and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Intrexon common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Intrexon common stock are to become vested and payable based upon the volume-weighted average of the price of the common stock of Intrexon (as calculated by Bloomberg) over the 30-day period ending on the last calendar day of the month. Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.

F1 · price: In accordance with the Restricted Stock Unit Agreement dated April 1, 2019 between Intrexon Corporation ("Intrexon") and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Intrexon common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Intrexon common stock are to become vested and payable based upon the volume-weighted average of the price of the common stock of Intrexon (as calculated by Bloomberg) over the 30-day period ending on the last calendar day of the month. Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 11

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: 182,200

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2009

Disclosed balance after: 151,802

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by ZSK 2008

Disclosed balance after: 337,234

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2011

Disclosed balance after: 1,299,267

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2009

Disclosed balance after: 1,832,054

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by MGK 2008

Disclosed balance after: 366,548

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2012

Disclosed balance after: 1,316,798

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · doc1.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by JPK 2009

Disclosed balance after: 1,675,873

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · 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: 367,560

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · 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: 22,684,644

F2 · shares: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F2 · price: On January 1, 2020, TS Biotechnology Holdings, LLC ("TS Biotechnology") entered into a subscription agreement with the issuer (the "Subscription Agreement"), pursuant to which, upon the terms and subject to the conditions set forth therein, TS Biotechnology agreed to purchase, at a per share price equal to the volume weighted average price of the issuers common stock for the five consecutive trading days immediately following the second business day after January 14, 2020, a number of shares of Common Stock, rounded to the nearest whole share, equal to $35 million. Pursuant to the terms of the Subscription Agreement, on January 31, 2020, TS Biotechnology purchased 5,972,696 shares of issuer common stock, at a price per share of $5.86 (the "Purchased Shares"). At closing, TS Biotechnology elected to have the shares issued directly to its members.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001567619-20-002123 · 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: 18,528,842

F1 · price: In accordance with the Restricted Stock Unit Agreement dated April 1, 2019 between Intrexon Corporation ("Intrexon") and Randal J. Kirk, each month Mr. Kirk will receive that number of shares of Intrexon common stock, rounded down to the nearest whole share, whose fair market value equals $200,000. The number of shares of Intrexon common stock are to become vested and payable based upon the volume-weighted average of the price of the common stock of Intrexon (as calculated by Bloomberg) over the 30-day period ending on the last calendar day of the month. Mr. Kirk has designated the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") to receive these shares. As of January 1, 2020, Mr. Kirk transitioned from Chief Executive Officer to the Executive Chairman of the issuer.

F3 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Third Security, 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"), and Kapital Joe, LLC ("Kapital Joe"). 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: 0001123292-20-000114 · edgar.xml · nonDerivative · entry 2

Bostick Thomas · CIK 0001724193 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,280

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: 0001123292-20-000113 · edgar.xml · nonDerivative · entry 2

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,991

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: 0001123292-20-000112 · edgar.xml · nonDerivative · entry 2

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,948

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: 0001123292-20-000111 · edgar.xml · nonDerivative · entry 2

Reed Thomas D. · CIK 0001583188 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,888

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: 0001123292-20-000110 · edgar.xml · nonDerivative · entry 2

Sabzevari Helen · CIK 0001724195 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,002

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: 0001123292-20-000109 · edgar.xml · nonDerivative · entry 2

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,032

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: 0001123292-20-000110 · edgar.xml · derivative · entry 7

Sabzevari Helen · CIK 0001724195 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2030-01-05

F6 · derivative.exercise_date: The option vests in four equal annual installments beginning on January 5, 2021.

SEC source: 0001123292-20-000110 · edgar.xml · derivative · entry 6

Sabzevari Helen · CIK 0001724195 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2030-01-05

F6 · derivative.exercise_date: The option vests in four equal annual installments beginning on January 5, 2021.

SEC source: 0001123292-20-000110 · edgar.xml · derivative · entry 5

Sabzevari Helen · CIK 0001724195 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2030-01-05

F5 · derivative.exercise_date: The option vests in four installments as follows: 50% on January 5, 2021, and the remaining 50% in three equal annual installments on each of January 5, 2022, 2023, and 2024.

SEC source: 0001123292-20-000110 · edgar.xml · derivative · entry 4

Sabzevari Helen · CIK 0001724195 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

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

F4 · derivative.exercise_date: The restricted stock units vest in full on January 5, 2021.

F4 · derivative.expiration_date: The restricted stock units vest in full on January 5, 2021.