PGEN

SEC source: 0000950103-25-001481 · dp224422_4-sabzevari.xml · nonDerivative · entry 1

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,046,076

F1 · shares: Represent shares of Precigen common stock ("Common Stock") issued on settlement of the first installment of performance stock units ("PSUs") originally granted on August 28, 2024 that vested based on the achievement of the applicable performance condition for such installment.

SEC source: 0001213900-24-113595 · marketforms-67659.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 16,666,667

Underlying: Common Stock · 16,666,667 shares

Expires 2034-12-30

F1 · security: On December 27, 2024, the issuer entered into a Securities Purchase Agreement (the "SPA") with certain existing and new investors pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") and issue rights to exercise warrants to purchase shares of common stock of the issuer (the "Warrants") in a private placement transaction (the "Private Placement").

F3 · price: Warrants issued in the Private Placement are exercisable for shares of common stock of the issuer at any time after the issuer obtains shareholder approval.

F3 · derivative.exercise_date: Warrants issued in the Private Placement are exercisable for shares of common stock of the issuer at any time after the issuer obtains shareholder approval.

F3 · derivative.underlying_shares: Warrants issued in the Private Placement are exercisable for shares of common stock of the issuer at any time after the issuer obtains shareholder approval.

F4 · ownership.nature: Randal J. Kirk controls the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and shares held by this entity 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: 0001213900-24-113595 · marketforms-67659.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 25,000

Underlying: Common Stock · 22,222,220 shares

Expires not disclosed

F1 · security: On December 27, 2024, the issuer entered into a Securities Purchase Agreement (the "SPA") with certain existing and new investors pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") and issue rights to exercise warrants to purchase shares of common stock of the issuer (the "Warrants") in a private placement transaction (the "Private Placement").

F2 · price: The Preferred Stock is convertible into shares of common stock of the issuer (i) at the option of the holder at any time on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, and (ii) at an initial conversion price of approximately $1.125 per share, which is 150% of the exercise price of the Warrants. The conversion price is subject to upward adjustment based on the valuation of the common stock from time to time. The Preferred Stock is redeemable, in whole or in part, for cash at the issuer's option at any time on or after the issue date for an amount equal to the liquidation preference at such time, plus accumulated and unpaid dividends.

F2 · derivative.exercise_date: The Preferred Stock is convertible into shares of common stock of the issuer (i) at the option of the holder at any time on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, and (ii) at an initial conversion price of approximately $1.125 per share, which is 150% of the exercise price of the Warrants. The conversion price is subject to upward adjustment based on the valuation of the common stock from time to time. The Preferred Stock is redeemable, in whole or in part, for cash at the issuer's option at any time on or after the issue date for an amount equal to the liquidation preference at such time, plus accumulated and unpaid dividends.

F2 · derivative.expiration_date: The Preferred Stock is convertible into shares of common stock of the issuer (i) at the option of the holder at any time on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, and (ii) at an initial conversion price of approximately $1.125 per share, which is 150% of the exercise price of the Warrants. The conversion price is subject to upward adjustment based on the valuation of the common stock from time to time. The Preferred Stock is redeemable, in whole or in part, for cash at the issuer's option at any time on or after the issue date for an amount equal to the liquidation preference at such time, plus accumulated and unpaid dividends.

F2 · derivative.underlying_shares: The Preferred Stock is convertible into shares of common stock of the issuer (i) at the option of the holder at any time on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, and (ii) at an initial conversion price of approximately $1.125 per share, which is 150% of the exercise price of the Warrants. The conversion price is subject to upward adjustment based on the valuation of the common stock from time to time. The Preferred Stock is redeemable, in whole or in part, for cash at the issuer's option at any time on or after the issue date for an amount equal to the liquidation preference at such time, plus accumulated and unpaid dividends.

F4 · ownership.nature: Randal J. Kirk controls the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and shares held by this entity 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: 0001213900-24-068267 · marketforms-66755.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 64,547,214

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC ("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"), Parkview 2020 Limited Partnership ("Parkview 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0000950103-24-012152 · dp216448_4-perez.xml · nonDerivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 743,097

F1 · kind: The reporting person purchased shares of Precigen common stock in connection with the issuer's follow-on offering, which closed on August 9, 2024. The purchase price is the offering price.

SEC source: 0000950103-24-010674 · dp215150_4-tennant.xml · derivative · entry 1

Tennant Phil · CIK 0002030874 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-07-22

F1 · derivative.exercise_date: The options vest 25% on July 22, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0000950103-24-009777 · dp214267_4-agee.xml · derivative · entry 3

AGEE NANCY H · CIK 0001314626 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,540

Underlying: Common Stock · 147,540 shares

Expires 2034-07-05

F4 · derivative.exercise_date: The options vest in four equal installments of 25% on each of July 5, 2025, July 5, 2026, July 5, 2027 and July 5, 2028.

SEC source: 0000950103-24-009777 · dp214267_4-agee.xml · derivative · entry 2

AGEE NANCY H · CIK 0001314626 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,760

Underlying: Common Stock · 126,760 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs vest in full on July 5, 2025.

F3 · derivative.expiration_date: The RSUs vest in full on July 5, 2025.

SEC source: 0000950103-24-009777 · dp214267_4-agee.xml · nonDerivative · entry 1

AGEE NANCY H · CIK 0001314626 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,605

F1 · price: The shares were issued to the reporting person in lieu of a pro-rated annual retainer of $24,999.

SEC source: 0000950103-24-007576 · dp212128_4-shah.xml · derivative · entry 1

Shah Rutul R · CIK 0001947221 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2034-05-31

F1 · derivative.exercise_date: The options vest 25% on May 31, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0000950103-24-007573 · dp212125_4-thomasian.xml · derivative · entry 1

Thomasian Harry Jr. · CIK 0001886301 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-05-31

F1 · derivative.exercise_date: The options vest 25% on May 31, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0000950103-24-007575 · dp212127_4-perez.xml · derivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-05-31

F1 · derivative.exercise_date: The options vest 25% on May 31, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0000950103-24-007574 · dp212126_4-sabzevari.xml · derivative · entry 1

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,803,000

Underlying: Common Stock · 1,803,000 shares

Expires 2034-05-31

F1 · derivative.exercise_date: The options vest 25% on May 31, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0000950103-24-007572 · dp212129_4-lehr.xml · derivative · entry 1

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2034-05-31

F1 · derivative.exercise_date: The options vest 25% on May 31, 2025 and in equal monthly installments for three years thereafter.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 12

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Third Security

Disclosed balance after: 6,085,471

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · kind: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · price: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F3 · ownership.nature: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 11

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 41,017,803

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · kind: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F3 · price: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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.

F3 · ownership.nature: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. 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: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 10

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Incentive 2009

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2009

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Incentive 2007

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2007

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sr. Staff 2007

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Incentive 2006

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2006

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sr. Staff 2006

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2001

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F2 · shares: On May 2, 2024, in connection with the liquidation of the Staff LLCs, the following entities transferred all shares of the issuer held by the entity to Third Security Staff 2001 LLC in satisfaction of certain intercompany debt (an aggregate of 8,479,387 shares): Third Security Senior Staff 2008 LLC ("Sr. Staff 08"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Senior Staff 2015 LLC ("Sr. Staff 15"), and Third Security Staff 2015 LLC ("Staff 2015").

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sr. Staff

Disclosed balance after: 0

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

F1 · ownership.nature: On May 2, 2024, each of Third Security Senior Staff LLC ("Sr. Staff"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009"), and Third Security Incentive 2009 LLC ("Incentive 2009") made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective Limited Liability Company Agreement, including an aggregate of 19,447,371 shares of the issuer.

SEC source: 0000950103-24-006353 · dp210890_4-perez.xml · nonDerivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 684,274

F1 · kind: On May 2, 2024, each of Third Security Senior Staff LLC, Third Security Staff 2001 LLC, Third Security Senior Staff 2006 LLC, Third Security Staff 2006 LLC, Third Security Incentive 2006 LLC, Third Security Senior Staff 2007 LLC, Third Security Staff 2007 LLC, Third Security Incentive 2007 LLC, Third Security Staff 2009 LLC, and Third Security Incentive 2009 LLC made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective limited liability company agreement. Mr. Perez received a distribution of 126,713 shares of common stock of the issuer in his capacity as a limited partner of these entities.

F1 · shares: On May 2, 2024, each of Third Security Senior Staff LLC, Third Security Staff 2001 LLC, Third Security Senior Staff 2006 LLC, Third Security Staff 2006 LLC, Third Security Incentive 2006 LLC, Third Security Senior Staff 2007 LLC, Third Security Staff 2007 LLC, Third Security Incentive 2007 LLC, Third Security Staff 2009 LLC, and Third Security Incentive 2009 LLC made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective limited liability company agreement. Mr. Perez received a distribution of 126,713 shares of common stock of the issuer in his capacity as a limited partner of these entities.

F1 · price: On May 2, 2024, each of Third Security Senior Staff LLC, Third Security Staff 2001 LLC, Third Security Senior Staff 2006 LLC, Third Security Staff 2006 LLC, Third Security Incentive 2006 LLC, Third Security Senior Staff 2007 LLC, Third Security Staff 2007 LLC, Third Security Incentive 2007 LLC, Third Security Staff 2009 LLC, and Third Security Incentive 2009 LLC made a liquidating distribution of its assets in connection with the dissolution of the entity in accordance with the terms of its respective limited liability company agreement. Mr. Perez received a distribution of 126,713 shares of common stock of the issuer in his capacity as a limited partner of these entities.

SEC source: 0000950103-24-005094 · dp209630_4-shah.xml · derivative · entry 4

Shah Rutul R · CIK 0001947221 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 117,142 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005094 · dp209630_4-shah.xml · derivative · entry 3

Shah Rutul R · CIK 0001947221 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,142

Underlying: Common Stock · 117,142 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005094 · dp209630_4-shah.xml · nonDerivative · entry 2

Shah Rutul R · CIK 0001947221 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,746

F2 · shares: Represents the number of shares of common stock withheld by the Issuer to satisfy income tax withholding obligations in connection with the settlement of the RSUs.

SEC source: 0000950103-24-005094 · dp209630_4-shah.xml · nonDerivative · entry 1

Shah Rutul R · CIK 0001947221 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,616

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

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

SEC source: 0000950103-24-005097 · dp209633_4-thomasian.xml · derivative · entry 4

Thomasian Harry Jr. · CIK 0001886301 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 135,714 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005097 · dp209633_4-thomasian.xml · derivative · entry 3

Thomasian Harry Jr. · CIK 0001886301 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,714

Underlying: Common Stock · 135,714 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005097 · dp209633_4-thomasian.xml · nonDerivative · entry 2

Thomasian Harry Jr. · CIK 0001886301 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229,376

F2 · shares: Represents the number of shares of common stock withheld by the Issuer to satisfy income tax withholding obligations in connection with the settlement of the RSUs.

SEC source: 0000950103-24-005097 · dp209633_4-thomasian.xml · nonDerivative · entry 1

Thomasian Harry Jr. · CIK 0001886301 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,765

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

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

SEC source: 0000950103-24-005096 · dp209632_4-perez.xml · derivative · entry 4

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 142,857 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005096 · dp209632_4-perez.xml · derivative · entry 3

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,857

Underlying: Common Stock · 142,857 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005096 · dp209632_4-perez.xml · nonDerivative · entry 2

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 557,561

F2 · shares: Represents the number of shares of common stock withheld by the Issuer to satisfy income tax withholding obligations in connection with the settlement of the RSUs.

SEC source: 0000950103-24-005096 · dp209632_4-perez.xml · nonDerivative · entry 1

Perez Jeffrey Thomas · CIK 0001617812 · SVP, IP Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 601,760

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

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

SEC source: 0000950103-24-005095 · dp209631_4-sabzevari.xml · derivative · entry 4

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,071,429 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005095 · dp209631_4-sabzevari.xml · derivative · entry 3

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,071,429

Underlying: Common Stock · 1,071,429 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005095 · dp209631_4-sabzevari.xml · nonDerivative · entry 2

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,221,076

F2 · shares: Represents the number of shares of common stock withheld by the Issuer to satisfy income tax withholding obligations in connection with the settlement of the RSUs.

SEC source: 0000950103-24-005095 · dp209631_4-sabzevari.xml · nonDerivative · entry 1

Sabzevari Helen · CIK 0001724195 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,631,433

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

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

SEC source: 0000950103-24-005093 · dp209629_4-lehr.xml · derivative · entry 4

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 164,285 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005093 · dp209629_4-lehr.xml · derivative · entry 3

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,285

Underlying: Common Stock · 164,285 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The RSUs vested immediately upon the grant date.

F3 · derivative.expiration_date: The RSUs vested immediately upon the grant date.

SEC source: 0000950103-24-005093 · dp209629_4-lehr.xml · nonDerivative · entry 2

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 538,126

F2 · shares: Represents the number of shares of common stock withheld by the Issuer to satisfy income tax withholding obligations in connection with the settlement of the RSUs.

SEC source: 0000950103-24-005093 · dp209629_4-lehr.xml · nonDerivative · entry 1

Lehr Donald P. · CIK 0001583187 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 593,201

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

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

SEC source: 0001213900-24-023626 · marketforms-65218.xml · derivative · entry 32

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 203,252

Underlying: Common Stock · 203,252 shares

Expires 2034-03-14

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), 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"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0001213900-24-023626 · marketforms-65218.xml · derivative · entry 31

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 174,825

Underlying: Common Stock · 174,825 shares

Expires not disclosed

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

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

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

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), 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"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0001213900-24-023626 · marketforms-65218.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 32,121,391

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), 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"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.