Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AQUABOUNTY TECHNOLOGIES INCAQB · Entity 8187 | Director | June 14, 2023 | June 16, 2023 |
| PRECIGEN, INC.PGEN · Entity 4356 | Chief Financial Officer | January 04, 2021 | January 06, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AQUABOUNTY TECHNOLOGIES INC
Report date June 14, 2023 · Filed June 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Comon StockSEC Table I · non-derivative | Direct | 56,850 |
Reported balance
After 2023-06-14 transaction · row 1
1 source rowRow 1 · 2023-06-14 · Grant · Acquired 55,555 · Balance 56,850 F1: Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
| Options to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.36 · Expires 2033-05-25 | Direct | 2,500 |
Reported balance
After 2023-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-06-14 · Grant · Acquired 2,500 · Balance 2,500 F2: Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025.
F2: Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024.
PRECIGEN, INC.
Report date January 04, 2021 · Filed January 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 340,020 |
Ending reported balance
After 2021-01-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-01-04 · Exercise / conversion · Acquired 18,940 · Balance 346,116 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Row 2 · 2021-01-05 · Sale · Disposed 6,096 · Balance 340,020 F2: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 37,878 |
Reported balance
After 2021-01-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-01-04 · Exercise / conversion · Disposed 18,940 · Balance 37,878 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3: The RSUs were granted on January 4, 2019, and the remaining RSUs vest in two equal annual installments on each of January 4, 2022 and 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.
F2: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs.
F3: The RSUs were granted on January 4, 2019, and the remaining RSUs vest in two equal annual installments on each of January 4, 2022 and 2023.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2023 Filed Jun 16, 2023 08:58 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 2,500 | $0.00 Strike: $0.36 | $0.00 |
DisclosureSEC source: 0001209191-23-037656 · doc4.xml · derivative · entry 2 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2033-05-25 F2 · derivative.exercise_date: Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 08:58 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantComon Stock | 55,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-037656 · doc4.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,850 F1 · shares: Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. Read SEC document |
| March 14, 2022 Filed Mar 16, 2022 11:17 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 2,500 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0001209191-22-019081 · doc4.xml · derivative · entry 4 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2032-03-14 F3 · derivative.exercise_date: Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 18:18 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 2,500 | $0.00 Strike: $6.72 | $0.00 |
DisclosureSEC source: 0001209191-21-019917 · doc4.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2031-03-10 F2 · balance_after: Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant Read SEC document |
| January 05, 2021 Filed Jan 6, 2021 21:40 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 6,096 | $10.56 | $64,403.63 |
DisclosureSEC source: 0001123292-21-000058 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,020 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 22:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 3,487 | $10.16 | $35,427.92 |
DisclosureSEC source: 0001123292-21-000033 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,176 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:40 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 18,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-21-000058 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,878 Underlying: Common Stock · 18,940 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on January 4, 2019, and the remaining RSUs vest in two equal annual installments on each of January 4, 2022 and 2023. F3 · derivative.expiration_date: The RSUs were granted on January 4, 2019, and the remaining RSUs vest in two equal annual installments on each of January 4, 2022 and 2023. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:40 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 18,940 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-21-000058 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 346,116 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 9,766 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-21-000033 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,765 Underlying: Common Stock · 9,766 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on January 2, 2018, and the remaining RSUs vest on January 2, 2022. F3 · derivative.expiration_date: The RSUs were granted on January 2, 2018, and the remaining RSUs vest on January 2, 2022. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 9,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-21-000033 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 22:18 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 9,416 | $7.20 | $67,795.20 |
DisclosureSEC source: 0001123292-20-001271 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,897 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:18 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-001271 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and have vested in full. F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and have vested in full. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:18 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-001271 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,313 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 22:39 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 7,660 | $5.22 | $39,985.20 |
DisclosureSEC source: 0001123292-20-001096 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,313 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| September 15, 2020 Filed Sep 17, 2020 22:39 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-001096 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020. F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 25,000 RSUs vest on December 15, 2020. Read SEC document |
| September 15, 2020 Filed Sep 17, 2020 22:39 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-001096 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 312,973 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| August 11, 2020 Filed Aug 11, 2020 17:26 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | PurchaseCommon Stock | 1,200 | $2.50 | $3,000.00 |
DisclosureSEC source: 0001603978-20-000107 · wf-form4_159718118704291.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,295 Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 20:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 7,619 | $4.50 | $34,285.50 |
DisclosureSEC source: 0001123292-20-000903 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,973 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000903 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 25,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 50,000 RSUs vest in two equal installments on September 15, 2020 and December 15, 2020. F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 50,000 RSUs vest in two equal installments on September 15, 2020 and December 15, 2020. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:32 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000903 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| May 18, 2020 Filed May 19, 2020 20:34 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 56,853 | $2.36 | $134,372.07 |
DisclosureSEC source: 0001123292-20-000742 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,592 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of RSUs. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:34 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000742 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 175,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The RSUs were granted on March 23, 2020 and the remaining 75,000 RSUs vest in three equal installments on June 15, 2020, September 15, 2020, and December 15, 2020. F3 · derivative.expiration_date: The RSUs were granted on March 23, 2020 and the remaining 75,000 RSUs vest in three equal installments on June 15, 2020, September 15, 2020, and December 15, 2020. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:34 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 175,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000742 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,445 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| May 14, 2020 Filed May 18, 2020 17:11 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 2,000 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001603978-20-000088 · wf-form4_158983624291559.xml · derivative · entry 2 Sterling Rick L. · CIK 0001583123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2030-05-14 Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 20:36 UTC | PRECIGEN, INC. PGEN · Entity 4356 | SaleCommon Stock | 4,927 | $3.02 | $14,859.34 |
DisclosureSEC source: 0001123292-20-000639 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,445 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 20:36 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 14,340 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000639 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,340 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Precigen common stock. F3 · derivative.exercise_date: The restricted stock units were granted on April 9, 2019 and have vested in full. F3 · derivative.expiration_date: The restricted stock units were granted on April 9, 2019 and have vested in full. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 20:36 UTC | PRECIGEN, INC. PGEN · Entity 4356 | Exercise / conversionCommon Stock | 14,340 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000639 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,372 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of Precigen common stock. Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 20:38 UTC | PRECIGEN, INC. PGEN · Entity 4356 | GrantRestricted Stock Units · Derivative | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000607 · edgar.xml · derivative · entry 1 Sterling Rick L. · CIK 0001583123 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock. F2 · derivative.exercise_date: 175,000 RSUs vest on May 15, 2020 and the remaining 75,000 RSUs vest in three equal installments on June 15, 2020, September 15, 2020, and December 15, 2020. F2 · derivative.expiration_date: 175,000 RSUs vest on May 15, 2020 and the remaining 75,000 RSUs vest in three equal installments on June 15, 2020, September 15, 2020, and December 15, 2020. Read SEC document |
| January 06, 2020 Filed Jan 7, 2020 22:12 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 6,533 | $5.83 | $38,082.16 |
DisclosureSEC source: 0001123292-20-000109 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,032 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| January 04, 2020 Filed Jan 7, 2020 22:12 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 18,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000109 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,818 Underlying: Common Stock · 18,940 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on January 4, 2019, and the remaining restricted stock units vest in three equal annual installments on each of January 4, 2021, 2022 and 2023. F3 · derivative.expiration_date: The restricted stock units were granted on January 4, 2019, and the remaining restricted stock units vest in three equal annual installments on each of January 4, 2021, 2022 and 2023. Read SEC document |
| January 04, 2020 Filed Jan 7, 2020 22:12 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 18,940 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000109 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,565 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 21:16 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 3,564 | $5.77 | $20,563.57 |
DisclosureSEC source: 0001123292-20-000070 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,625 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 21:33 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 4,366 | $5.60 | $24,449.60 |
DisclosureSEC source: 0001123292-20-000043 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,423 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:16 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 9,766 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000070 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,531 Underlying: Common Stock · 9,766 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on January 2, 2018, and the remaining restricted stock units vest in two equal annual installments on each of January 2, 2021 and 2022. F3 · derivative.expiration_date: The restricted stock units were granted on January 2, 2018, and the remaining restricted stock units vest in two equal annual installments on each of January 2, 2021 and 2022. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:16 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 9,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000070 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,189 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:33 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 14,340 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-20-000043 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,340 Underlying: Common Stock · 14,340 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest on March 31, 2020. F3 · derivative.expiration_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest on March 31, 2020. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:33 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 14,340 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-20-000043 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,789 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| October 01, 2019 Filed Oct 2, 2019 21:25 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 4,521 | $5.50 | $24,846.96 |
DisclosureSEC source: 0001123292-19-001190 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,449 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 21:25 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 14,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-001190 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,680 Underlying: Common Stock · 14,341 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest in two equal quarterly installments on each of December 31, 2019 and March 31, 2020. F3 · derivative.expiration_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest in two equal quarterly installments on each of December 31, 2019 and March 31, 2020. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 21:25 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 14,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-19-001190 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,970 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 23:13 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 4,359 | $7.76 | $33,825.84 |
DisclosureSEC source: 0001123292-19-000965 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,629 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 23:13 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 14,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-000965 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,021 Underlying: Common Stock · 14,341 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest in three equal quarterly installments on each of September 30, 2019, December 31, 2019 and March 31, 2020. F3 · derivative.expiration_date: The restricted stock units were granted on April 9, 2019, and the remaining restricted stock units vest in three equal quarterly installments on each of September 30, 2019, December 31, 2019 and March 31, 2020. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 23:13 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 14,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-19-000965 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,988 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| April 09, 2019 Filed Apr 12, 2019 01:44 UTC | PRECIGEN, INC. XON · Entity 4356 | GrantRestricted Stock Units · Derivative | 57,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-000634 · edgar.xml · derivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,362 Underlying: Common Stock · 57,362 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F2 · derivative.exercise_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019. F2 · derivative.expiration_date: The restricted stock units vest in four equal quarterly installments beginning June 30, 2019. Read SEC document |
| January 04, 2019 Filed Jan 9, 2019 01:06 UTC | PRECIGEN, INC. XON · Entity 4356 | GrantRestricted Stock Units · Derivative | 75,758 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-000127 · edgar.xml · derivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,758 Underlying: Common Stock · 75,758 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning January 4, 2020. F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning January 4, 2020. Read SEC document |
| January 04, 2019 Filed Jan 9, 2019 01:06 UTC | PRECIGEN, INC. XON · Entity 4356 | GrantCommon Stock | 13,774 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-19-000127 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,647 F1 · price: These shares of common stock resulted from the grant and immediate vesting of restricted stock units that were issued as a portion of the reporting person's 2018 incentive compensation. Read SEC document |
| January 03, 2019 Filed Jan 4, 2019 23:46 UTC | PRECIGEN, INC. XON · Entity 4356 | SaleCommon Stock | 3,514 | $7.07 | $24,845.74 |
DisclosureSEC source: 0001123292-19-000083 · edgar.xml · nonDerivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,873 F2 · kind: This sale was effected pursuant to the terms of a 10b5-1 plan adopted by the reporting person and was made in order to pay the tax liability arising from the vesting of restricted stock units. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 23:46 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionRestricted Stock Units · Derivative | 9,766 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-000083 · edgar.xml · derivative · entry 3 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,297 Underlying: Common Stock · 9,766 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F3 · derivative.exercise_date: The restricted stock units were granted on January 2, 2018, and the remaining restricted stock units vest in three equal annual installments on each of January 2, 2020, 2021 and 2022. F3 · derivative.expiration_date: The restricted stock units were granted on January 2, 2018, and the remaining restricted stock units vest in three equal annual installments on each of January 2, 2020, 2021 and 2022. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 23:46 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 9,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-19-000083 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,387 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. Read SEC document |
| January 02, 2018 Filed Jan 9, 2018 01:22 UTC | PRECIGEN, INC. XON · Entity 4356 | GrantRestricted Stock Units · Derivative | 39,063 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-18-000106 · edgar.xml · derivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,063 Underlying: Common Stock · 39,063 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of XON common stock. F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning January 2, 2019. F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning January 2, 2019. 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.