Tapewire

Nasdaq · USD

PGEN

PRECIGEN, INC.

Export transactions ↓
Tapewire entity
4356
SEC CIK
0001356090
Parsed reports
576

Last 12 months

Inside the activity.

1 purchase rows · 42 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202503
Dec 2025012
Jan 202600
Feb 202600
Mar 2026011
Apr 202600
May 202605
Jun 202603
Jul 202602
Aug 202616
Sep 202600
Oct 202600

Latest available

Insider transactions

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 13, 2019 Filed May 15, 2019 17:38 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 75,386 $4.25 $320,390.50
Disclosure

SEC source: 0001567619-19-011332 · doc1.xml · nonDerivative · entry 7

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Incentive 2010

Disclosed balance after: 753,709

F1 · shares: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F1 · price: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F2 · ownership.nature: Randal J. Kirk controls each of Sr. Staff 2015, Staff 2015, Incentive 2010, Third Security, LLC ("Third Security"), Kapital Joe, LLC ("Kapital Joe"), Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 2006"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under t

Read SEC document
May 13, 2019 Filed May 15, 2019 17:38 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 150,773 $4.25 $640,785.25
Disclosure

SEC source: 0001567619-19-011332 · doc1.xml · nonDerivative · entry 4

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Staff 2015

Disclosed balance after: 196,985

F1 · shares: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F1 · price: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F2 · ownership.nature: Randal J. Kirk controls each of Sr. Staff 2015, Staff 2015, Incentive 2010, Third Security, LLC ("Third Security"), Kapital Joe, LLC ("Kapital Joe"), Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 2006"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under t

Read SEC document
May 13, 2019 Filed May 15, 2019 17:38 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 150,773 $4.25 $640,785.25
Disclosure

SEC source: 0001567619-19-011332 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Sr. Staff 2015

Disclosed balance after: 196,985

F1 · shares: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F1 · price: Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share.

F2 · ownership.nature: Randal J. Kirk controls each of Sr. Staff 2015, Staff 2015, Incentive 2010, Third Security, LLC ("Third Security"), Kapital Joe, LLC ("Kapital Joe"), Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 2006"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under t

Read SEC document
May 01, 2019 Filed May 2, 2019 16:24 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 508,617 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-19-009652 · doc1.xml · nonDerivative · entry 2

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Third Security

Disclosed balance after: 2,091,141

F2 · shares: In accordance with the Services Agreement between Intrexon and Third Security, LLC ("Third Security") dated November 1, 2015, as amended by the Fourth Amendment to the Services Agreement dated April 18, 2019 (the "Fourth Amendment"), for services provided by Third Security to Intrexon, Intrexon shall pay to Third Security, on a monthly basis, such number of shares of common stock of Intrexon, rounded down to the nearest whole number, equal to a value of $800,000. The number of shares issuable to Third Security shall be calculated by dividing $800,000 by the volume-weighted average of the price of Intrexon's common stock (as calculated by Bloomberg) over the 30-day period ending on the 15th day of the calendar month during which the applicable services are provided.

F3 · shares: Pursuant to the Fourth Amendment, on May 1, 2019, Intrexon issued 508,617 shares of common stock to Third Security as consideration for the services provided from January 1, 2019 through April 30, 2019. Such number of shares was calculated on a per month basis using the applicable volume-weighted average of the price: (i) 111,225 shares at price of $7.19 per share for the month of January 2019; (ii) 99,328 shares at a price of $8.05 per share for the month of February 2019; (iii) 146,161 shares at a price of $5.47 per share for the month of March 2019; and (iv) 151,903 shares at a price of $5.27 per share for the month of April 2019.

F3 · price: Pursuant to the Fourth Amendment, on May 1, 2019, Intrexon issued 508,617 shares of common stock to Third Security as consideration for the services provided from January 1, 2019 through April 30, 2019. Such number of shares was calculated on a per month basis using the applicable volume-weighted average of the price: (i) 111,225 shares at price of $7.19 per share for the month of January 2019; (ii) 99,328 shares at a price of $8.05 per share for the month of February 2019; (iii) 146,161 shares at a price of $5.47 per share for the month of March 2019; and (iv) 151,903 shares at a price of $5.27 per share for the month of April 2019.

F4 · ownership.nature: Randal J. Kirk controls each of Third Security, R.J. Kirk DOT, JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), ZSK 2008, LLC ("ZSK 2008"), ZSK 2009, LLC ("ZSK 2009"), 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.

Read SEC document
April 30, 2019 Filed May 2, 2019 16:24 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 43,887 $4.56 $200,124.72
Disclosure

SEC source: 0001567619-19-009652 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 16,190,754

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.

F4 · ownership.nature: Randal J. Kirk controls each of Third Security, R.J. Kirk DOT, JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), ZSK 2008, LLC ("ZSK 2008"), ZSK 2009, LLC ("ZSK 2009"), 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.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:44 UTC
Sterling Rick L.Chief Financial Officer
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000634 · edgar.xml · derivative · entry 1

Sterling Rick L. · CIK 0001583123 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:44 UTC
Sabzevari HelenPresident, Precigen, Inc.
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000633 · edgar.xml · derivative · entry 1

Sabzevari Helen · CIK 0001724195 · President, Precigen, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:43 UTC
Perez Jeffrey ThomasSVP, IP Affairs
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000632 · edgar.xml · derivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:43 UTC
Bostick ThomasChief Operating Officer
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000631 · edgar.xml · derivative · entry 1

Bostick Thomas · CIK 0001724193 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:42 UTC
Reed Thomas D.Chief Science Officer
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000630 · edgar.xml · derivative · entry 1

Reed Thomas D. · CIK 0001583188 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:42 UTC
Lehr Donald P.Chief Legal Officer
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000628 · edgar.xml · derivative · entry 1

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
April 09, 2019 Filed Apr 12, 2019 01:42 UTC
Walsh Robert F. IIISVP, Energy & Fine Chem.
GrantRestricted Stock Units · Derivative 57,362 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000629 · edgar.xml · derivative · entry 1

Walsh Robert F. III · CIK 0001583727 · SVP, Energy & Fine Chem.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,362

Underlying: Common Stock · 57,362 shares

Expires not disclosed

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 vest in four equal quarterly installments beginning June 30, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019.

Read SEC document
March 29, 2019 Filed Apr 2, 2019 16:11 UTC
KIRK RANDAL JDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 38,022 $5.26 $199,995.72
Disclosure

SEC source: 0001567619-19-008156 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 16,146,867

F1 · shares: In accordance with the Restricted Stock Unit Agreement dated November 1, 2015 between 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 closing price of the common stock of Intrexon on the NYSE on the last calendar day of each month (or, if such date is not a trading day, the most recent trading day prior to such date). 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 November 1, 2015 between 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 closing price of the common stock of Intrexon on the NYSE on the last calendar day of each month (or, if such date is not a trading day, the most recent trading day prior to such date). 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, LLC ("Third Security"), JPK 2008, LLC ("JPK 2008"), JPK 2009, LLC ("JPK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008, LLC ("MGK 2008"), MGK 2009, LLC ("MGK 2009"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), ZSK 2008, LLC ("ZSK 2008"), ZSK 2009, LLC ("ZSK 2009"), 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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 17:51 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000577 · 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 · 7,911 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 23, 2019.

F3 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 17:51 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000577 · edgar.xml · nonDerivative · entry 1

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,505

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:49 UTC
Hassan FredDirector
Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000572 · edgar.xml · derivative · entry 2

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,911 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 23, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:49 UTC
Hassan FredDirector
Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000572 · edgar.xml · nonDerivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,358

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:49 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000573 · 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 · 7,911 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 23, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:49 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000573 · edgar.xml · nonDerivative · entry 1

KINDLER JEFFREY B · CIK 0001174454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,040

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 17:48 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000571 · 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 · 7,911 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 23, 2019.

F3 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 17:48 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000571 · edgar.xml · nonDerivative · entry 1

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,491

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:52 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000578 · 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 · 7,911 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 23, 2019.

F3 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:52 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000578 · edgar.xml · nonDerivative · entry 1

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,368

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.

F2 · balance_after: Amount reflects a decrease of 360 shares that were inadvertently included in the reporting person's original Form 4 filed on February 22, 2018, due to a clerical error.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:50 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000575 · 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 · 7,911 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 23, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:50 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000575 · edgar.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,812

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:51 UTC Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000576 · 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 · 7,911 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 23, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:51 UTC Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000576 · edgar.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,661

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.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:50 UTC
Frank StevenDirector
Exercise / conversionRestricted Stock Units · Derivative 7,911 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000574 · edgar.xml · derivative · entry 2

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,911 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 23, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on March 23, 2019.

Read SEC document
March 23, 2019 Filed Mar 26, 2019 21:50 UTC
Frank StevenDirector
Exercise / conversionCommon Stock 7,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000574 · edgar.xml · nonDerivative · entry 1

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,017

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.

Read SEC document
March 12, 2019 Filed Mar 12, 2019 23:11 UTC Exercise / conversionOption to Purchase Common Stock (Right to Buy) · Derivative 8,906 $0.00 Strike: $3.17 $0.00
Disclosure

SEC source: 0001123292-19-000469 · edgar.xml · derivative · entry 5

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,906 shares

Expires 2019-03-17

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

F4 · derivative.exercise_date: The option was immediately exercisable.

Read SEC document
March 12, 2019 Filed Mar 12, 2019 23:11 UTC Exercise / conversionCommon Stock 8,906 $3.17 $28,232.02
Disclosure

SEC source: 0001123292-19-000469 · edgar.xml · nonDerivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,750

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.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:12 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000470 · edgar.xml · derivative · entry 4

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:12 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000470 · edgar.xml · derivative · entry 3

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

F3 · 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 one year from the grant date.

F4 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:12 UTC GrantCommon Stock 12,450 $5.06 $62,997.00
Disclosure

SEC source: 0001123292-19-000470 · edgar.xml · nonDerivative · entry 1

SHAPIRO ROBERT B · CIK 0001083227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,594

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $63,000.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:11 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000468 · edgar.xml · derivative · entry 2

KINDLER JEFFREY B · CIK 0001174454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:11 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000468 · edgar.xml · derivative · entry 1

KINDLER JEFFREY B · CIK 0001174454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

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 vest in full one year from the grant date.

F2 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:09 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000467 · edgar.xml · derivative · entry 4

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:09 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000467 · edgar.xml · derivative · entry 3

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

F3 · 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 one year from the grant date.

F4 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 19:09 UTC GrantCommon Stock 11,166 $5.06 $56,499.96
Disclosure

SEC source: 0001123292-19-000467 · edgar.xml · nonDerivative · entry 1

Gupta Vinita D · CIK 0001705209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,580

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

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:13 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000471 · edgar.xml · derivative · entry 3

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:13 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000471 · edgar.xml · derivative · entry 2

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

F2 · 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 vest in full one year from the grant date.

F3 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:13 UTC GrantCommon Stock 12,351 $5.06 $62,496.06
Disclosure

SEC source: 0001123292-19-000471 · edgar.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,901

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

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:11 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000469 · edgar.xml · derivative · entry 4

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:11 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000469 · edgar.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

F2 · 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 vest in full one year from the grant date.

F3 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:11 UTC GrantCommon Stock 11,166 $5.06 $56,499.96
Disclosure

SEC source: 0001123292-19-000469 · edgar.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,844

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

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:08 UTC
Frank StevenDirector
GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000466 · edgar.xml · derivative · entry 3

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:08 UTC
Frank StevenDirector
GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000466 · edgar.xml · derivative · entry 2

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

F2 · 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 vest in full one year from the grant date.

F3 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:08 UTC
Frank StevenDirector
GrantCommon Stock 9,881 $5.06 $49,997.86
Disclosure

SEC source: 0001123292-19-000466 · edgar.xml · nonDerivative · entry 1

Frank Steven · CIK 0001583886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,106

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

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:07 UTC GrantOption to Purchase Common Stock (Right to Buy) · Derivative 42,450 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001123292-19-000465 · edgar.xml · derivative · entry 2

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,450

Underlying: Common Stock · 42,450 shares

Expires 2029-03-08

Read SEC document
March 08, 2019 Filed Mar 12, 2019 23:07 UTC GrantRestricted Stock Units · Derivative 24,703 $0.00 $0.00
Disclosure

SEC source: 0001123292-19-000465 · edgar.xml · derivative · entry 1

ALVAREZ CESAR L · CIK 0001220297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,614

Underlying: Common Stock · 24,703 shares

Expires not disclosed

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 vest in full one year from the grant date.

F2 · derivative.expiration_date: The restricted stock units vest in full one year from the grant date.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.