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 |
|---|---|---|---|---|---|---|
| July 07, 2017 Filed Jul 10, 2017 12:32 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionOption to Purchase Common Stock (Right to Buy) · Derivative | 68,252 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0001225385-17-000086 · edgar.xml · derivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,252 shares Expires 2017-07-09 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 |
| July 07, 2017 Filed Jul 10, 2017 12:32 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 68,252 | $2.64 | $180,185.28 |
DisclosureSEC source: 0001225385-17-000086 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,621 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 |
| February 02, 2017 Filed Feb 6, 2017 22:14 UTC | PRECIGEN, INC. XON · Entity 4356 | GrantOption to Purchase Common Stock (Right to Buy) · Derivative | 225,000 | $0.00 Strike: $20.94 | $0.00 |
DisclosureSEC source: 0001225385-17-000009 · edgar.xml · derivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2027-02-02 F1 · derivative.exercise_date: The option vests in four 25% installments beginning on February 2, 2018. Read SEC document |
| December 20, 2016 Filed Dec 22, 2016 12:20 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionOption to Purchase Common Stock (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001225385-16-000090 · edgar.xml · derivative · entry 2 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,979 Underlying: Common Stock · 3,000 shares Expires 2017-07-09 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 |
| December 20, 2016 Filed Dec 22, 2016 12:20 UTC | PRECIGEN, INC. XON · Entity 4356 | Exercise / conversionCommon Stock | 3,000 | $2.65 | $7,950.00 |
DisclosureSEC source: 0001225385-16-000090 · edgar.xml · nonDerivative · entry 1 Sterling Rick L. · CIK 0001583123 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,369 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.