Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 08, 2017 Filed Dec 11, 2017 21:34 UTC |
WEISER MICHAELDirector
|
Exercise / conversionCommon Stock | 20,000 | $2.73 | $54,600.00 |
DisclosureSEC source: 0001209191-17-065008 · doc4.xml · nonDerivative · entry 1 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,370 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 |
| November 30, 2017 Filed Nov 30, 2017 19:59 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,172 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-044516 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 118,460 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:41 UTC |
BRENNAN MURRAYDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.73 | $0.00 |
DisclosureSEC source: 0001209191-17-062374 · doc4.xml · derivative · entry 3 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2017-12-12 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. F2 · derivative.exercise_date: 6,667 shares vested on each of 12/12/08 and 12/12/09; 6,666 shares vested on 12/12/10. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:41 UTC |
BRENNAN MURRAYDirector
|
Tax withholdingCommon Stock | 12,639 | $4.32 | $54,600.48 |
DisclosureSEC source: 0001209191-17-062374 · doc4.xml · nonDerivative · entry 2 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,175 F1 · shares: Represents shares withheld to pay exercise price. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:41 UTC |
BRENNAN MURRAYDirector
|
Exercise / conversionCommon Stock | 20,000 | $2.73 | $54,600.00 |
DisclosureSEC source: 0001209191-17-062374 · doc4.xml · nonDerivative · entry 1 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,814 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 |
| November 08, 2017 Filed Nov 9, 2017 21:41 UTC |
MAUNEY DAVID M MDEVP and Chief Business Officer
|
PurchaseCommon Stock | 4,270 | $4.68 | $19,983.60 |
DisclosureSEC source: 0001209191-17-059986 · doc4.xml · nonDerivative · entry 1 MAUNEY DAVID M MD · CIK 0001305832 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,662 Read SEC document |
| November 08, 2017 Filed Nov 9, 2017 21:43 UTC |
Cooper Laurence James NeilChief Executive Officer
|
PurchaseCommon Stock | 6,440 | $4.68 | $30,139.20 |
DisclosureSEC source: 0001209191-17-059988 · doc4.xml · nonDerivative · entry 1 Cooper Laurence James Neil · CIK 0001641506 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,083,731 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.66 to $4.71, inclusive.The Reporting Person undertakes to provide to the Issuer, any stockholder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 16:16 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,161 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-040505 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 117,288 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| September 29, 2017 Filed Sep 29, 2017 16:42 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,149 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-036971 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 116,127 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| September 28, 2017 Filed Oct 2, 2017 20:31 UTC |
MAUNEY DAVID M MDEVP and Chief Business Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $6.19 | $0.00 |
DisclosureSEC source: 0001209191-17-054636 · doc4.xml · derivative · entry 1 MAUNEY DAVID M MD · CIK 0001305832 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2027-09-28 F1 · derivative.exercise_date: 166,667 shares subject to the option shall vest on each of 9/28/2018 and 9/28/2019; 166,666 shares subject to the option shall vest on 9/28/2020. Read SEC document |
| August 31, 2017 Filed Aug 31, 2017 20:37 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,138 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-034041 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 114,978 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| July 31, 2017 Filed Jul 31, 2017 17:35 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,127 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-029431 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 113,840 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| June 30, 2017 Filed Jun 30, 2017 16:24 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,115 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-026872 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 112,713 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:31 UTC |
CANNON JAMES ANTHONYDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001209191-17-039836 · doc4.xml · derivative · entry 2 CANNON JAMES ANTHONY · CIK 0001338533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2017-06-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 5,000 shares vested and became exercisable on each of 6/18/08, 6/18/09 and 6/18/10. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:31 UTC |
CANNON JAMES ANTHONYDirector
|
Exercise / conversionCommon Stock | 15,000 | $4.85 | $72,750.00 |
DisclosureSEC source: 0001209191-17-039836 · doc4.xml · nonDerivative · entry 1 CANNON JAMES ANTHONY · CIK 0001338533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,502 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 |
| June 12, 2017 Filed Jun 14, 2017 20:29 UTC |
Fowler WycheDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001209191-17-039831 · doc4.xml · derivative · entry 3 Fowler Wyche · CIK 0001301268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2017-06-18 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. F2 · derivative.exercise_date: 5,000 shares vested and became exercisable on each of 6/18/08, 6/18/09 and 6/18/10. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:29 UTC |
Fowler WycheDirector
|
Tax withholdingCommon Stock | 13,980 | $5.47 | $76,470.60 |
DisclosureSEC source: 0001209191-17-039831 · doc4.xml · nonDerivative · entry 2 Fowler Wyche · CIK 0001301268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,870 F1 · shares: Represents shares withheld to pay exercise price and withholding tax obligations. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:29 UTC |
Fowler WycheDirector
|
Exercise / conversionCommon Stock | 15,000 | $4.85 | $72,750.00 |
DisclosureSEC source: 0001209191-17-039831 · doc4.xml · nonDerivative · entry 1 Fowler Wyche · CIK 0001301268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,850 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 |
| June 12, 2017 Filed Jun 14, 2017 20:32 UTC |
BRENNAN MURRAYDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001209191-17-039840 · doc4.xml · derivative · entry 3 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2017-06-18 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. F2 · derivative.exercise_date: 5,000 shares vested and became exercisable on each of 6/18/08, 6/18/09 and 6/18/10. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:32 UTC |
BRENNAN MURRAYDirector
|
Tax withholdingCommon Stock | 13,300 | $5.47 | $72,751.00 |
DisclosureSEC source: 0001209191-17-039840 · doc4.xml · nonDerivative · entry 2 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,814 F1 · shares: Represents shares withheld to pay exercise price. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:32 UTC |
BRENNAN MURRAYDirector
|
Exercise / conversionCommon Stock | 15,000 | $4.85 | $72,750.00 |
DisclosureSEC source: 0001209191-17-039840 · doc4.xml · nonDerivative · entry 1 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,114 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 |
| June 12, 2017 Filed Jun 14, 2017 20:28 UTC |
WEISER MICHAELDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001209191-17-039824 · doc4.xml · derivative · entry 3 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2017-06-18 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. F2 · derivative.exercise_date: 5,000 shares vested and became exercisable on each of 6/18/08, 6/18/09 and 6/18/10. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:28 UTC |
WEISER MICHAELDirector
|
Tax withholdingCommon Stock | 13,300 | $5.47 | $72,751.00 |
DisclosureSEC source: 0001209191-17-039824 · doc4.xml · nonDerivative · entry 2 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,370 F1 · shares: Represents shares withheld to pay exercise price. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:28 UTC |
WEISER MICHAELDirector
|
Exercise / conversionCommon Stock | 15,000 | $4.85 | $72,750.00 |
DisclosureSEC source: 0001209191-17-039824 · doc4.xml · nonDerivative · entry 1 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,670 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 |
| June 01, 2017 Filed Jun 5, 2017 20:31 UTC |
BELBEL CAESAR JCOO, CLO, and Secretary
|
Tax withholdingCommon Stock | 16,666 | $6.11 | $101,829.26 |
DisclosureSEC source: 0001209191-17-037731 · doc4.xml · nonDerivative · entry 1 BELBEL CAESAR J · CIK 0001109753 · COO, CLO, and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,551 F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of a restricted stock grant. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 17:23 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,104 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-023343 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 111,598 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| May 05, 2017 Filed May 9, 2017 22:50 UTC |
Cooper Laurence James NeilChief Executive Officer
|
Tax withholdingCommon Stock | 132,000 | $7.12 | $939,840.00 |
DisclosureSEC source: 0001209191-17-031086 · doc4.xml · nonDerivative · entry 1 Cooper Laurence James Neil · CIK 0001641506 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,077,291 F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of a restricted stock grant. Read SEC document |
| April 28, 2017 Filed May 2, 2017 12:40 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-017809 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 110,494 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| March 31, 2017 Filed Mar 31, 2017 17:38 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,083 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-014219 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 109,400 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 17:49 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,072 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-010357 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 108,317 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 12:02 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,061 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-004101 · doc1.xml · derivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 107,245 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F1 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F1 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F2 · balance_after: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F3 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 16:42 UTC |
LEBEL FRANCOISExecutive Vice President R&D
|
Tax withholdingCommon Stock | 21,667 | $5.35 | $115,918.45 |
DisclosureSEC source: 0001209191-17-001014 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,683 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:38 UTC |
CANNON JAMES ANTHONYDirector
|
Tax withholdingCommon Stock | 6,665 | $5.35 | $35,657.75 |
DisclosureSEC source: 0001209191-17-000976 · doc4.xml · nonDerivative · entry 2 CANNON JAMES ANTHONY · CIK 0001338533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,502 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:41 UTC |
Lafond Kevin GVice Pres., Treasurer & CAO
|
Tax withholdingCommon Stock | 9,333 | $5.35 | $49,931.55 |
DisclosureSEC source: 0001209191-17-001003 · doc4.xml · nonDerivative · entry 2 Lafond Kevin G · CIK 0001429559 · Vice Pres., Treasurer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,967 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:41 UTC |
Cooper Laurence James NeilChief Executive Officer
|
Tax withholdingCommon Stock | 17,292 | $5.35 | $92,512.20 |
DisclosureSEC source: 0001209191-17-000996 · doc4.xml · nonDerivative · entry 2 Cooper Laurence James Neil · CIK 0001641506 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,209,291 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:39 UTC |
BELBEL CAESAR JCOO, CLO, and Secretary
|
Tax withholdingCommon Stock | 21,667 | $5.35 | $115,918.45 |
DisclosureSEC source: 0001209191-17-000982 · doc4.xml · nonDerivative · entry 2 BELBEL CAESAR J · CIK 0001109753 · COO, CLO, and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,217 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:35 UTC |
WEISER MICHAELDirector
|
Tax withholdingCommon Stock | 9,331 | $5.35 | $49,920.85 |
DisclosureSEC source: 0001209191-17-000952 · doc4.xml · nonDerivative · entry 2 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,670 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:36 UTC |
Fowler WycheDirector
|
Tax withholdingCommon Stock | 10,664 | $5.35 | $57,052.40 |
DisclosureSEC source: 0001209191-17-000962 · doc4.xml · nonDerivative · entry 2 Fowler Wyche · CIK 0001301268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,850 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:34 UTC |
BRENNAN MURRAYDirector
|
Tax withholdingCommon Stock | 10,558 | $5.35 | $56,485.30 |
DisclosureSEC source: 0001209191-17-000942 · doc4.xml · nonDerivative · entry 2 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,114 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 30, 2016 Filed Dec 30, 2016 19:38 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
OtherSeries 1 Preferred Stock · Derivative | 1,051 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-091273 · doc1.xml · derivative · entry 26 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Intrexon Disclosed balance after: 106,184 Underlying: Common Stock · Not disclosed shares Expires not disclosed F4 · derivative.exercise_price: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F5 · price: Intrexon received the shares of Preferred Stock as payment-in-kind dividends in connection with its ownership of shares of Preferred Stock. The holders of Preferred Stock are entitled to receive a monthly dividend payable in additional shares of Preferred Stock equal to $12.00 per share of Preferred Stock per month (subject to adjustment), divided by the stated value of $1,200, rounded down to the nearest whole share. F4 · derivative.exercise_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F4 · derivative.expiration_date: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F4 · derivative.underlying_shares: Each share of Series 1 Preferred Stock ("Preferred Stock") has a stated value of $1,200, subject to appropriate adjustment in the event of any stock dividend, stock split, combination or other recapitalization with respect to the shares of Preferred Stock. The shares of Preferred Stock shall automatically convert into shares of the issuer's common stock upon the date of commercialization of a product pursuant to the collaboration between Intrexon Corporation ("Intrexon") and the issuer, subject to conversion limitations set forth in the Securities Issuance Agreement entered into between the issuer and Intrexon on June 29, 2016 (the "Issuance Agreement"). The conversion price in connection with such automatic conversion shall be determined as set forth in the Amended and Restated Certificate of Designation, Preferences and Rights of Series 1 Preferred Stock, which the issuer has filed as an exhibit to its Amendment to Current Report on Form 8-K/A, dated July 1, 2016. F6 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
| December 30, 2016 Filed Dec 30, 2016 19:38 UTC |
KIRK RANDAL JDirector
PRECIGEN, INC.10% owner
|
GrantCommon Stock | 17,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-091273 · doc1.xml · nonDerivative · entry 1 KIRK RANDAL J · CIK 0001091823 · Director INTREXON CORP · CIK 0001356090 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,513 F1 · shares: Restrictions related to the grant of restricted stock will lapse one year from the grant date. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 16:42 UTC |
LEBEL FRANCOISExecutive Vice President R&D
|
GrantCommon Stock | 94,350 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001014 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,350 F1 · shares: 31,450 shares shall vest on each of 12/30/2017, 12/30/2018 and 12/30/2019. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:37 UTC |
Tarriff ScottDirector
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $5.35 | $0.00 |
DisclosureSEC source: 0001209191-17-000968 · doc4.xml · derivative · entry 1 Tarriff Scott · CIK 0001469124 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-12-30 F1 · derivative.exercise_date: 25,000 shares shall vest on 12/30/2017. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:38 UTC |
CANNON JAMES ANTHONYDirector
|
GrantCommon Stock | 17,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000976 · doc4.xml · nonDerivative · entry 1 CANNON JAMES ANTHONY · CIK 0001338533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,167 F1 · shares: 17,204 shares vest on 12/30/2017. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:41 UTC |
Lafond Kevin GVice Pres., Treasurer & CAO
|
GrantCommon Stock | 39,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001003 · doc4.xml · nonDerivative · entry 1 Lafond Kevin G · CIK 0001429559 · Vice Pres., Treasurer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,300 F1 · shares: 13,100 shares shall vest on each of 12/30/2017, 12/30/2018 and 12/30/2019. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:41 UTC |
Cooper Laurence James NeilChief Executive Officer
|
GrantCommon Stock | 212,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000996 · doc4.xml · nonDerivative · entry 1 Cooper Laurence James Neil · CIK 0001641506 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,226,583 F1 · shares: 70,750 shares vest on each of 12/30/2017, 12/30/2018 and 12/30/2019. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:39 UTC |
BELBEL CAESAR JCOO, CLO, and Secretary
|
GrantCommon Stock | 94,350 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000982 · doc4.xml · nonDerivative · entry 1 BELBEL CAESAR J · CIK 0001109753 · COO, CLO, and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,884 F1 · shares: 31,450 shares vest on each of 12/30/2017, 12/30/2018 and 12/30/2019. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:35 UTC |
WEISER MICHAELDirector
|
GrantCommon Stock | 17,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000952 · doc4.xml · nonDerivative · entry 1 WEISER MICHAEL · CIK 0001221449 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,001 F1 · shares: 17,204 shares shall vest on 12/30/2017. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:36 UTC |
Fowler WycheDirector
|
GrantCommon Stock | 17,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000962 · doc4.xml · nonDerivative · entry 1 Fowler Wyche · CIK 0001301268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,514 F1 · shares: 17,204 shares vest on 12/30/2017. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:34 UTC |
BRENNAN MURRAYDirector
|
GrantCommon Stock | 17,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000942 · doc4.xml · nonDerivative · entry 1 BRENNAN MURRAY · CIK 0001338535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,672 F1 · shares: 17,204 shares vest on 12/30/2017. 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.