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person · Reporting owner

KIRK RANDAL J

Disclosed activity across 10 companies

Tapewire entity
55166
SEC CIK
0001091823

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
PRECIGEN, INC.PGEN · Entity 4356Director · 10% ownerMarch 26, 2026March 31, 2026

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.

PRECIGEN, INC.

Report date March 26, 2026 · Filed March 31, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby R.J. Kirk DOT80,672,818 Reported balance After 2026-03-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-03-30 · Sale · Disposed 1,108,998 · Balance 80,672,818

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 2008426,695 Reported balance After 2026-03-30 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-03-30 · Sale · Disposed 50,797 · Balance 426,695

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 20093,238,210 Reported balance After 2026-03-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-03-30 · Sale · Disposed 370,847 · Balance 3,238,210

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 20121,463,571 Reported balance After 2026-03-30 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-03-30 · Sale · Disposed 152,063 · Balance 1,463,571

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 2008425,732 Reported balance After 2026-03-30 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-03-30 · Sale · Disposed 50,797 · Balance 425,732

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 20093,358,917 Reported balance After 2026-03-30 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-03-30 · Sale · Disposed 426,199 · Balance 3,358,917

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 20111,425,544 Reported balance After 2026-03-30 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-03-30 · Sale · Disposed 168,794 · Balance 1,425,544

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby ZSK 2008519,061 Reported balance After 2026-03-30 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-03-30 · Sale · Disposed 47,101 · Balance 519,061

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby ZSK 2009302,213 Reported balance After 2026-03-30 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2026-03-30 · Sale · Disposed 38,976 · Balance 302,213

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Kellie L. Banks LTT423,984 Reported balance After 2026-03-30 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2026-03-30 · Sale · Disposed 23,789 · Balance 423,984

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sunset 202012,262,741 Reported balance After 2026-03-30 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2026-03-30 · Sale · Disposed 2,334,420 · Balance 12,262,741

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Kapital Joe4,598,044 Reported balance Holding disclosure · report date 2026-03-26 · row 12 Holding and transaction disclosures are not merged.
1 source row

Row 12 · Balance 4,598,044

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Lotus1,403 Reported balance Holding disclosure · report date 2026-03-26 · row 13 Holding and transaction disclosures are not merged.
1 source row

Row 13 · Balance 1,403

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Third Security6,085,471 Reported balance Holding disclosure · report date 2026-03-26 · row 14 Holding and transaction disclosures are not merged.
1 source row

Row 14 · Balance 6,085,471

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Parkview 20201,096,686 Reported balance Holding disclosure · report date 2026-03-26 · row 15 Holding and transaction disclosures are not merged.
1 source row

Row 15 · Balance 1,096,686

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Past disclosures · reporting ended (9)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AQUABOUNTY TECHNOLOGIES INC

Report date November 23, 2021 · Filed November 24, 2021

Section 16 reporting ended · disclosed 2021-11-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby R.J. Kirk DOT1,965,386 Reported balance After 2021-11-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-11-23 · Sale · Disposed 4,742,552 · Balance 1,965,386

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 2008115,463 Reported balance After 2021-11-23 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2021-11-23 · Sale · Disposed 278,618 · Balance 115,463

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 2008115,672 Reported balance After 2021-11-23 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2021-11-23 · Sale · Disposed 279,121 · Balance 115,672

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby ZSK 2008116,044 Reported balance After 2021-11-23 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2021-11-23 · Sale · Disposed 280,018 · Balance 116,044

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 2009331,318 Reported balance After 2021-11-23 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2021-11-23 · Sale · Disposed 980,473 · Balance 331,318

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 2009340,514 Reported balance After 2021-11-23 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2021-11-23 · Sale · Disposed 1,002,663 · Balance 340,514

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby ZSK 200922,570 Reported balance After 2021-11-23 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2021-11-23 · Sale · Disposed 54,462 · Balance 22,570

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby ADC 2010937 Reported balance After 2021-11-23 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2021-11-23 · Sale · Disposed 2,262 · Balance 937

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby MGK 2011103,349 Reported balance After 2021-11-23 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2021-11-23 · Sale · Disposed 249,384 · Balance 103,349

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby JPK 2012184,291 Reported balance After 2021-11-23 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2021-11-23 · Sale · Disposed 444,702 · Balance 184,291

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Kellie L. Banks LTT21,976 Reported balance After 2021-11-23 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2021-11-23 · Sale · Disposed 53,028 · Balance 21,976

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sunset 20201,769,343 Reported balance After 2021-11-23 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 12 · 2021-11-23 · Sale · Disposed 4,269,495 · Balance 1,769,343

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Kapital Joe27,886 Reported balance After 2021-11-23 transaction · row 13 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 13 · 2021-11-23 · Sale · Disposed 67,291 · Balance 27,886

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Lotus6 Reported balance After 2021-11-23 transaction · row 14 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 14 · 2021-11-23 · Sale · Disposed 14 · Balance 6

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 20011,365 Reported balance After 2021-11-23 transaction · row 15 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 15 · 2021-11-23 · Sale · Disposed 3,294 · Balance 1,365

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sr. Staff 2006519 Reported balance After 2021-11-23 transaction · row 16 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 16 · 2021-11-23 · Sale · Disposed 1,251 · Balance 519

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 2006259 Reported balance After 2021-11-23 transaction · row 17 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 17 · 2021-11-23 · Sale · Disposed 626 · Balance 259

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Inc 200686 Reported balance After 2021-11-23 transaction · row 18 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 18 · 2021-11-23 · Sale · Disposed 209 · Balance 86

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sr. Staff 200721,906 Reported balance After 2021-11-23 transaction · row 19 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 19 · 2021-11-23 · Sale · Disposed 52,859 · Balance 21,906

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 200710,953 Reported balance After 2021-11-23 transaction · row 20 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 20 · 2021-11-23 · Sale · Disposed 26,430 · Balance 10,953

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Inc 20073,651 Reported balance After 2021-11-23 transaction · row 21 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 21 · 2021-11-23 · Sale · Disposed 8,810 · Balance 3,651

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sr. Staff 200813,562 Reported balance After 2021-11-23 transaction · row 22 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 22 · 2021-11-23 · Sale · Disposed 33,347 · Balance 13,562

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 20096,068 Reported balance After 2021-11-23 transaction · row 23 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 23 · 2021-11-23 · Sale · Disposed 14,644 · Balance 6,068

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Inc 20093,035 Reported balance After 2021-11-23 transaction · row 24 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 24 · 2021-11-23 · Sale · Disposed 7,323 · Balance 3,035

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 20107,493 Reported balance After 2021-11-23 transaction · row 25 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 25 · 2021-11-23 · Sale · Disposed 18,082 · Balance 7,493

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Inc 20103,747 Reported balance After 2021-11-23 transaction · row 26 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 26 · 2021-11-23 · Sale · Disposed 9,042 · Balance 3,747

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sr. Staff258 Reported balance Holding disclosure · report date 2021-11-23 · row 27 Holding and transaction disclosures are not merged.
1 source row

Row 27 · Balance 258

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Sr. Staff 201575,004 Reported balance Holding disclosure · report date 2021-11-23 · row 28 Holding and transaction disclosures are not merged.
1 source row

Row 28 · Balance 75,004

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 201575,004 Reported balance Holding disclosure · report date 2021-11-23 · row 29 Holding and transaction disclosures are not merged.
1 source row

Row 29 · Balance 75,004

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Spouse2,159 Reported balance Holding disclosure · report date 2021-11-23 · row 30 Holding and transaction disclosures are not merged.
1 source row

Row 30 · Balance 2,159

Filing footnotes · ownership attribution and instrument terms

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

Alaunos Therapeutics, Inc.

Report date October 05, 2018 · Filed October 09, 2018

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2018-10-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series 1 Preferred StockSEC Table II · derivative / convertible securityIndirectby Intrexon0 Reported balance After 2018-10-05 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-10-05 · Other · Disposed 130,849 · Balance 0

F1: On October 5, 2018, the issuer and Precigen, Inc., a wholly-owned subsidiary of Intrexon Corporation ("Intrexon"), entered into a definitive license agreement to replace all existing agreements between the companies. In partial consideration for the termination of the former agreements, the companies agreed that the issuer would retire all outstanding shares of its Series 1 Preferred Stock held by Intrexon, including any accrued dividends, as of September 30, 2018.

F2: 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.

Filing footnotes · ownership attribution and instrument terms

F1: On October 5, 2018, the issuer and Precigen, Inc., a wholly-owned subsidiary of Intrexon Corporation ("Intrexon"), entered into a definitive license agreement to replace all existing agreements between the companies. In partial consideration for the termination of the former agreements, the companies agreed that the issuer would retire all outstanding shares of its Series 1 Preferred Stock held by Intrexon, including any accrued dividends, as of September 30, 2018.

F2: 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.

Armata Pharmaceuticals, Inc.

Report date December 27, 2016 · Filed December 30, 2016

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2016-12-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings736,170 Last balance in matching sequence After 2016-12-29 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2016-12-27 · Sale · Disposed 26,308 · Balance 802,263

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Row 2 · 2016-12-28 · Sale · Disposed 44,170 · Balance 758,093

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Row 3 · 2016-12-29 · Sale · Disposed 21,923 · Balance 736,170

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon674,169 Last balance in matching sequence After 2016-12-29 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 4 · 2016-12-27 · Sale · Disposed 24,092 · Balance 734,696

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3: 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.

Row 5 · 2016-12-28 · Sale · Disposed 40,450 · Balance 694,246

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3: 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.

Row 6 · 2016-12-29 · Sale · Disposed 20,077 · Balance 674,169

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

F3: 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.

Fibrocell Science, Inc.

Report date December 13, 2019 · Filed December 17, 2019

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2019-12-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby Kapital Joe80,160 Reported balance After 2019-12-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-12-13 · Conversion · Acquired 10,282 · Balance 80,160

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Kapital Joe0 Reported balance After 2019-12-13 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2019-12-13 · Other · Disposed 80,160 · Balance 0

F4: The indicated number of shares is reflective of all common shares held at the Effective Time of the merger, including those shares of Preferred Stock that were converted to common shares of the issuer, pursuant to the terms detailed in Footnotes 2 and 3.

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among the issuer, Castle Creek Pharmaceutical Holdings, Inc. ("Castle Creek") and Castle Creek Merger Corp. ("Merger Sub"), effective as of immediately prior to the effective time of the merger of the issuer and Merger Sub (the "Effective Time"), each share of common stock of the issuer that was issued and outstanding immediately prior to the Effective Time, was converted into and thereafter represented the right to receive $3.00 in cash, without interest (the "Merger Consideration"), subject to any withholding of taxes required by applicable law, upon surrender of the certificates or book-entry shares in accordance with Section 2.2 of the Merger Agreement.

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Mascara Kaboom2,453 Reported balance After 2019-12-13 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2019-12-13 · Conversion · Acquired 291 · Balance 2,453

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Mascara Kaboom0 Reported balance After 2019-12-13 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2019-12-13 · Other · Disposed 2,453 · Balance 0

F4: The indicated number of shares is reflective of all common shares held at the Effective Time of the merger, including those shares of Preferred Stock that were converted to common shares of the issuer, pursuant to the terms detailed in Footnotes 2 and 3.

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among the issuer, Castle Creek Pharmaceutical Holdings, Inc. ("Castle Creek") and Castle Creek Merger Corp. ("Merger Sub"), effective as of immediately prior to the effective time of the merger of the issuer and Merger Sub (the "Effective Time"), each share of common stock of the issuer that was issued and outstanding immediately prior to the Effective Time, was converted into and thereafter represented the right to receive $3.00 in cash, without interest (the "Merger Consideration"), subject to any withholding of taxes required by applicable law, upon surrender of the certificates or book-entry shares in accordance with Section 2.2 of the Merger Agreement.

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings1,324,328 Reported balance After 2019-12-13 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2019-12-13 · Conversion · Acquired 169,602 · Balance 1,324,328

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings0 Reported balance After 2019-12-13 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2019-12-13 · Other · Disposed 1,324,328 · Balance 0

F4: The indicated number of shares is reflective of all common shares held at the Effective Time of the merger, including those shares of Preferred Stock that were converted to common shares of the issuer, pursuant to the terms detailed in Footnotes 2 and 3.

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among the issuer, Castle Creek Pharmaceutical Holdings, Inc. ("Castle Creek") and Castle Creek Merger Corp. ("Merger Sub"), effective as of immediately prior to the effective time of the merger of the issuer and Merger Sub (the "Effective Time"), each share of common stock of the issuer that was issued and outstanding immediately prior to the Effective Time, was converted into and thereafter represented the right to receive $3.00 in cash, without interest (the "Merger Consideration"), subject to any withholding of taxes required by applicable law, upon surrender of the certificates or book-entry shares in accordance with Section 2.2 of the Merger Agreement.

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon539,337 Reported balance After 2019-12-13 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2019-12-13 · Conversion · Acquired 112,617 · Balance 539,337

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon0 Reported balance After 2019-12-13 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2019-12-13 · Other · Disposed 539,337 · Balance 0

F4: The indicated number of shares is reflective of all common shares held at the Effective Time of the merger, including those shares of Preferred Stock that were converted to common shares of the issuer, pursuant to the terms detailed in Footnotes 2 and 3.

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among the issuer, Castle Creek Pharmaceutical Holdings, Inc. ("Castle Creek") and Castle Creek Merger Corp. ("Merger Sub"), effective as of immediately prior to the effective time of the merger of the issuer and Merger Sub (the "Effective Time"), each share of common stock of the issuer that was issued and outstanding immediately prior to the Effective Time, was converted into and thereafter represented the right to receive $3.00 in cash, without interest (the "Merger Consideration"), subject to any withholding of taxes required by applicable law, upon surrender of the certificates or book-entry shares in accordance with Section 2.2 of the Merger Agreement.

F6: 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.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectby Kapital Joe0 Reported balance After 2019-12-13 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2019-12-13 · Conversion · Disposed 106 · Balance 0

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectby Mascara Kaboom0 Reported balance After 2019-12-13 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2019-12-13 · Conversion · Disposed 3 · Balance 0

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectby NRM VII Holdings0 Reported balance After 2019-12-13 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2019-12-13 · Conversion · Disposed 1,746 · Balance 0

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectby Intrexon0 Reported balance After 2019-12-13 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2019-12-13 · Conversion · Disposed 1,161 · Balance 0

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among the issuer, Castle Creek Pharmaceutical Holdings, Inc. ("Castle Creek") and Castle Creek Merger Corp. ("Merger Sub"), effective as of immediately prior to the effective time of the merger of the issuer and Merger Sub (the "Effective Time"), each share of common stock of the issuer that was issued and outstanding immediately prior to the Effective Time, was converted into and thereafter represented the right to receive $3.00 in cash, without interest (the "Merger Consideration"), subject to any withholding of taxes required by applicable law, upon surrender of the certificates or book-entry shares in accordance with Section 2.2 of the Merger Agreement.

F2: Each share of Series A Preferred Stock of the issuer issued and outstanding immediately prior to the Effective Time ("Preferred Stock"), in accordance with the terms of the Certificate of Designations, survived the merger transaction and thereafter only represented the right to receive an amount in cash, without interest, equal to the conversion amount, as that term is defined in the Consent and Termination Agreement ("Termination Agreement") entered into on September 12, 2019 by and among the issuer, Castle Creek, Merger Sub, Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon"), subject to any withholding of taxes required by applicable law, upon delivery of a Notice of Conversion in accordance with Section 2.2 of the Merger Agreement and the Certificate of Designations.

F3: Pursuant to the Termination Agreement: (i) the Conversion Amount was calculated as: (x) the number of issuer shares of common stock such share of Preferred Stock is entitled to be converted into pursuant to the Certificate of Designation, based on the stated value and assuming a conversion price of $11.6355, multiplied by (y) the Merger Consideration; and (ii) the Merger Sub issued and delivered a Promissory Note in the principal amount equal to the aggregate amount of all of the Conversion Amounts which such securityholder is entitled to receive. The Promissory Notes bear interest at a rate of 8% per annum and Merger Sub shall repay the principal amount and all accrued and unpaid interest on the date that is one hundred-eighty (180) days following the closing date of the merger transaction. Each entity received the noted Conversion Amount and Promissory Notes: Kapital Joe ($30,846); Mascara Kaboom ($873); NRM VII Holdings ($508,086); and Intrexon ($337,851).

F4: The indicated number of shares is reflective of all common shares held at the Effective Time of the merger, including those shares of Preferred Stock that were converted to common shares of the issuer, pursuant to the terms detailed in Footnotes 2 and 3.

F5: Randal J. Kirk controls Kapital Joe, Mascara Kaboom, and NRM VII Holdings. Shares held by these entities 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.

F6: 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.

HALOZYME THERAPEUTICS, INC.

Report date August 24, 2018 · Filed August 28, 2018

Section 16 reporting ended · disclosed 2018-08-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby R.J. Kirk DOT3,900,919 Last balance in matching sequence After 2018-08-28 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2018-08-24 · Sale · Disposed 41,944 · Balance 4,120,689

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Row 2 · 2018-08-27 · Sale · Disposed 44,381 · Balance 4,076,308

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Row 3 · 2018-08-28 · Sale · Disposed 175,389 · Balance 3,900,919

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Kapital Joe1,897,610 Last balance in matching sequence After 2018-08-28 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 4 · 2018-08-24 · Sale · Disposed 61,428 · Balance 2,219,466

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Row 5 · 2018-08-27 · Sale · Disposed 64,996 · Balance 2,154,470

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Row 6 · 2018-08-28 · Sale · Disposed 256,860 · Balance 1,897,610

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby TSCP V2,327,603 Reported balance Holding disclosure · report date 2018-08-24 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 2,327,603

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby JPK 2012290,460 Reported balance Holding disclosure · report date 2018-08-24 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 290,460

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Kellie L. Banks LTT46,701 Reported balance Holding disclosure · report date 2018-08-24 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 46,701

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby JPK 2009354,654 Reported balance Holding disclosure · report date 2018-08-24 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 354,654

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby MGK 2009354,653 Reported balance Holding disclosure · report date 2018-08-24 · row 11 Holding and transaction disclosures are not merged.
1 source row

Row 11 · Balance 354,653

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby ZSK 20092,235 Reported balance Holding disclosure · report date 2018-08-24 · row 12 Holding and transaction disclosures are not merged.
1 source row

Row 12 · Balance 2,235

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby JPK 2008302,954 Reported balance Holding disclosure · report date 2018-08-24 · row 13 Holding and transaction disclosures are not merged.
1 source row

Row 13 · Balance 302,954

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby MGK 2008302,954 Reported balance Holding disclosure · report date 2018-08-24 · row 14 Holding and transaction disclosures are not merged.
1 source row

Row 14 · Balance 302,954

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby ZSK 2008302,954 Reported balance Holding disclosure · report date 2018-08-24 · row 15 Holding and transaction disclosures are not merged.
1 source row

Row 15 · Balance 302,954

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Lotus Capital11,317 Reported balance Holding disclosure · report date 2018-08-24 · row 16 Holding and transaction disclosures are not merged.
1 source row

Row 16 · Balance 11,317

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Staff 2001216,795 Reported balance Holding disclosure · report date 2018-08-24 · row 17 Holding and transaction disclosures are not merged.
1 source row

Row 17 · Balance 216,795

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Sr Staff 2006131,144 Reported balance Holding disclosure · report date 2018-08-24 · row 18 Holding and transaction disclosures are not merged.
1 source row

Row 18 · Balance 131,144

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Staff 200665,572 Reported balance Holding disclosure · report date 2018-08-24 · row 19 Holding and transaction disclosures are not merged.
1 source row

Row 19 · Balance 65,572

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeIndirectby Incentive 200621,858 Reported balance Holding disclosure · report date 2018-08-24 · row 20 Holding and transaction disclosures are not merged.
1 source row

Row 20 · Balance 21,858

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Common StockSEC Table I · non-derivativeDirect3,562,388 Reported balance Holding disclosure · report date 2018-08-24 · row 21 Holding and transaction disclosures are not merged.
1 source row

Row 21 · Balance 3,562,388

Filing footnotes · ownership attribution and instrument terms

F1: Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities 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.

Ocugen, Inc.

Report date January 11, 2019 · Filed January 15, 2019

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2019-01-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby Intrexon1,692,366 Last balance in matching sequence After 2019-01-15 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2019-01-11 · Sale · Disposed 251,800 · Balance 2,438,770

F1: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("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.

Row 2 · 2019-01-14 · Sale · Disposed 400,507 · Balance 2,038,263

F1: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("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.

Row 3 · 2019-01-15 · Sale · Disposed 345,897 · Balance 1,692,366

F1: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("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.

Filing footnotes · ownership attribution and instrument terms

F1: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("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.

Precipio, Inc.

Report date August 28, 2018 · Filed August 30, 2018

Section 16 reporting ended · disclosed 2018-08-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby Senior Staff 2008533,809 Reported balance After 2018-08-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-08-28 · Sale · Disposed 9,840 · Balance 533,809

F1: Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 2010506,657 Reported balance After 2018-08-28 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2018-08-28 · Sale · Disposed 9,340 · Balance 506,657

F1: Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Incentive 2010266,904 Reported balance After 2018-08-28 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2018-08-28 · Sale · Disposed 4,920 · Balance 266,904

F1: Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Staff 201427,151 Reported balance After 2018-08-28 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2018-08-28 · Sale · Disposed 500 · Balance 27,151

F1: Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014") sold shares on a pro rata basis.

F2: Randal J. Kirk controls each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SOLIGENIX, INC.

Report date May 04, 2017 · Filed May 08, 2017

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2017-05-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings583,334 Reported balance After 2017-05-04 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-05-04 · Other · Acquired 250,000 · Balance 583,334

F1: The indicated share amount is reflective of a 1:10 reverse stock split effected by the issuer on October 7, 2016.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings533,459 Reported balance After 2017-05-04 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2017-05-04 · Sale · Disposed 49,875 · Balance 533,459

F2: Shares surrendered to the issuer in order to satisfy the exercise price in connection with the cashless exercise of a warrant to purchase 250,000 shares of common stock of the issuer.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings521,720 Reported balance After 2017-05-04 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2017-05-04 · Sale · Disposed 11,739 · Balance 521,720

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings450,113 Reported balance After 2017-05-05 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2017-05-05 · Sale · Disposed 71,607 · Balance 450,113

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings440,418 Reported balance After 2017-05-08 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2017-05-08 · Sale · Disposed 9,695 · Balance 440,418

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon101,171 Reported balance After 2017-05-04 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2017-05-04 · Sale · Disposed 2,278 · Balance 101,171

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F1: The indicated share amount is reflective of a 1:10 reverse stock split effected by the issuer on October 7, 2016.

F5: 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon87,278 Reported balance After 2017-05-05 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2017-05-05 · Sale · Disposed 13,893 · Balance 87,278

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F5: 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon85,397 Reported balance After 2017-05-08 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2017-05-08 · Sale · Disposed 1,881 · Balance 85,397

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F5: 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.

Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.80 · Expires 2018-06-25Indirectby NRM VII Holdings0 Reported balance After 2017-05-04 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2017-05-04 · Other · Disposed 250,000 · Balance 0

F1: The indicated share amount is reflective of a 1:10 reverse stock split effected by the issuer on October 7, 2016.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Filing footnotes · ownership attribution and instrument terms

F1: The indicated share amount is reflective of a 1:10 reverse stock split effected by the issuer on October 7, 2016.

F2: Shares surrendered to the issuer in order to satisfy the exercise price in connection with the cashless exercise of a warrant to purchase 250,000 shares of common stock of the issuer.

F3: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F4: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

F5: 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.

Theriva Biologics, Inc.

Report date April 01, 2019 · Filed April 03, 2019

Jointly reported with PRECIGEN, INC.

Section 16 reporting ended · disclosed 2019-04-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby NRM VII Holdings62,342 Last balance in matching sequence After 2019-04-03 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2019-04-01 · Sale · Disposed 11,413 · Balance 92,159

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F3: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Row 3 · 2019-04-02 · Sale · Disposed 3,737 · Balance 88,422

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F3: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Row 5 · 2019-04-03 · Sale · Disposed 26,080 · Balance 62,342

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F3: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

Common StockSEC Table I · non-derivativeIndirectby Intrexon165,332 Last balance in matching sequence After 2019-04-03 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 2 · 2019-04-01 · Sale · Disposed 30,265 · Balance 244,402

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F4: 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.

Row 4 · 2019-04-02 · Sale · Disposed 9,909 · Balance 234,493

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F4: 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.

Row 6 · 2019-04-03 · Sale · Disposed 69,161 · Balance 165,332

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F4: 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.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.

F2: The indicated share amount is reflective of a 1:35 reverse stock split effected by the issuer on August 10, 2018.

F3: Randal J. Kirk controls NRM VII Holdings. Shares held by this entity 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.

F4: 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.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 2,334,420 $3.30 $7,703,586.00
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 11

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sunset 2020

Disclosed balance after: 12,262,741

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 23,789 $3.30 $78,503.70
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 10

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kellie L. Banks LTT

Disclosed balance after: 423,984

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 38,976 $3.30 $128,620.80
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by ZSK 2009

Disclosed balance after: 302,213

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 47,101 $3.30 $155,433.30
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by ZSK 2008

Disclosed balance after: 519,061

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 168,794 $3.30 $557,020.20
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2011

Disclosed balance after: 1,425,544

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 426,199 $3.30 $1,406,456.70
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2009

Disclosed balance after: 3,358,917

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 50,797 $3.30 $167,630.10
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2008

Disclosed balance after: 425,732

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 152,063 $3.30 $501,807.90
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2012

Disclosed balance after: 1,463,571

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 370,847 $3.30 $1,223,795.10
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2009

Disclosed balance after: 3,238,210

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 50,797 $3.30 $167,630.10
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2008

Disclosed balance after: 426,695

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 30, 2026 Filed Mar 31, 2026 16:10 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 1,108,998 $3.30 $3,659,693.40
Disclosure

SEC source: 0001213900-26-037443 · marketforms-72764.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 80,672,818

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.58, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020, LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security") and Parkview 2020 Limited Partnership ("Parkview 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 13, 2026 Filed Mar 16, 2026 17:29 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversionRestricted Stock Units · Derivative 143,678 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-028443 · marketforms-72538.xml · derivative · entry 17

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 0

Underlying: Common Stock · 143,678 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 (1) share of issuer common stock. The restricted stock units were granted on March 13, 2025 and vested in their entirety on the one-year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 13, 2025 and vested in their entirety on the one-year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 13, 2025 and vested in their entirety on the one-year anniversary of the date of grant.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 13, 2026 Filed Mar 16, 2026 17:29 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversionCommon Stock 143,678 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-028443 · marketforms-72538.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by. R.J. Kirk DOT

Disclosed balance after: 81,781,816

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 (1) share of issuer common stock. The restricted stock units were granted on March 13, 2025 and vested in their entirety on the one-year anniversary of the date of grant.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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March 10, 2026 Filed Mar 12, 2026 16:35 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantOption to Purchase Common Stock (Right to Buy) · Derivative 82,147 $0.00 Strike: $3.51 $0.00
Disclosure

SEC source: 0001213900-26-027006 · marketforms-72486.xml · derivative · entry 18

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 82,147

Underlying: Common Stock · 82,147 shares

Expires 2036-03-10

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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March 10, 2026 Filed Mar 12, 2026 16:35 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantRestricted Stock Units · Derivative 71,225 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-027006 · marketforms-72486.xml · derivative · entry 17

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 71,225

Underlying: Common Stock · 71,225 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F2 · derivative.exercise_date: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F2 · derivative.expiration_date: Each restricted stock unit (i) represents a contingent right to receive one (1) share of issuer common stock and (ii) shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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March 10, 2026 Filed Mar 12, 2026 16:35 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantCommon Stock 28,490 $3.51 $99,999.90
Disclosure

SEC source: 0001213900-26-027006 · marketforms-72486.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by. R.J. Kirk DOT

Disclosed balance after: 81,638,138

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 956,200 $4.18 $3,996,916.00
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 11

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 4,598,044

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 5,958 $4.18 $24,904.44
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 10

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kellie L. Banks LTT

Disclosed balance after: 447,773

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 9,931 $4.18 $41,511.58
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by ZSK 2009

Disclosed balance after: 341,189

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 11,917 $4.18 $49,813.06
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by ZSK 2008

Disclosed balance after: 566,162

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 42,702 $4.18 $178,494.36
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2011

Disclosed balance after: 1,594,338

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 159,321 $4.18 $665,961.78
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2009

Disclosed balance after: 3,785,116

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 12,909 $4.18 $53,959.62
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by MGK 2008

Disclosed balance after: 476,529

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 38,729 $4.18 $161,887.22
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2012

Disclosed balance after: 1,615,634

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 94,341 $4.18 $394,345.38
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2009

Disclosed balance after: 3,609,057

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 12,909 $4.18 $53,959.62
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by JPK 2008

Disclosed balance after: 477,492

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 22, 2025 Filed Dec 22, 2025 20:48 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 555,119 $4.18 $2,320,397.42
Disclosure

SEC source: 0001213900-25-124794 · marketforms-71644.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 81,609,648

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.1800 to $4.1900, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Parkview 2020 Limited Partnership ("Parkview 2020") and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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November 21, 2025 Filed Nov 21, 2025 19:54 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 937,308 $3.83 $3,589,889.64
Disclosure

SEC source: 0001213900-25-113771 · marketforms-71276.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 5,554,244

F3 · ownership.nature: Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
November 20, 2025 Filed Nov 21, 2025 19:54 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 942,832 $4.08 $3,846,754.56
Disclosure

SEC source: 0001213900-25-113771 · marketforms-71276.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 6,491,552

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.90 to $4.42, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (2) to this Form 4.

F3 · ownership.nature: Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 19:54 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 1,086,153 $4.47 $4,855,103.91
Disclosure

SEC source: 0001213900-25-113771 · marketforms-71276.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 7,434,384

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.31 to $4.68, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F3 · ownership.nature: Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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September 30, 2025 Filed Sep 30, 2025 17:44 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 1,809,667 $3.41 $6,170,964.47
Disclosure

SEC source: 0001213900-25-094114 · marketforms-70882.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sunset 2020

Disclosed balance after: 14,597,161

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.35 to $3.62, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (1) to this Form 4.

F2 · ownership.nature: Randal J. Kirk controls each of Sunset 2020 LLC ("Sunset 2020"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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September 19, 2025 Filed Sep 19, 2025 20:46 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 3,596,892 $3.68 $13,236,562.56
Disclosure

SEC source: 0001213900-25-089726 · ea0258156.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 8,520,537

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.63 to $3.79, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (3) to this Form 4.

F4 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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September 18, 2025 Filed Sep 19, 2025 20:46 UTC PRECIGEN, INC. PGEN · Entity 4356 SaleCommon Stock 1,403,360 $3.86 $5,416,969.60
Disclosure

SEC source: 0001213900-25-089726 · ea0258156.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Kapital Joe

Disclosed balance after: 12,117,429

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.78 to $3.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 footnote (2) to this Form 4.

F4 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
September 17, 2025 Filed Sep 19, 2025 20:46 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversion8.00% Series A Convertible Perpetual Preferred Stock · Derivative 25,000 Not disclosed Strike: $1.44 Not disclosed
Disclosure

SEC source: 0001213900-25-089726 · ea0258156.xml · derivative · entry 18

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 0

Underlying: Common Stock · 17,385,257 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: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F1 · price: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F1 · derivative.exercise_date: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F1 · derivative.expiration_date: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F1 · derivative.underlying_shares: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F4 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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September 17, 2025 Filed Sep 19, 2025 20:46 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversionCommon Stock 17,385,257 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-25-089726 · ea0258156.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 82,164,767

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 · shares: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F1 · price: On December 27, 2024, the issuer entered into a Securities Purchase Agreement with certain existing and new investors, including R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), pursuant to which the issuer agreed to sell its 8.00% Series A Convertible Perpetual Preferred Stock (the "Preferred Stock") in a private placement transaction. The Preferred Stock was convertible into shares of common stock of the issuer (i) at the option of the holder at anytime on or after the later of the six-month anniversary of the issue date and the date on which the issuer has, among other things, obtained shareholder approval, which shareholder approval was obtained on June 26, 2025 and (ii) at an initial conversion price of approximately $1.125 per share, which conversion price was subject to upward adjustment based on the valuation of the common stock from time to time.

F4 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, LLC ("Kapital Joe"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 14, 2025 Filed Mar 17, 2025 18:38 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversionRestricted Stock Units · Derivative 174,825 $0.00 $0.00
Disclosure

SEC source: 0001213900-25-024643 · marketforms-68605.xml · derivative · entry 20

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 0

Underlying: Common Stock · 174,825 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 14, 2024 and vested in their entirety on the one-year anniversary of the date of grant.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 14, 2024 and vested in their entirety on the one-year anniversary of the date of grant.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 14, 2024 and vested in their entirety on the one-year anniversary of the date of grant.

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 14, 2025 Filed Mar 17, 2025 18:38 UTC PRECIGEN, INC. PGEN · Entity 4356 Exercise / conversionCommon Stock 174,825 $0.00 $0.00
Disclosure

SEC source: 0001213900-25-024643 · marketforms-68605.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 64,779,510

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.

F3 · price: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock. The restricted stock units were granted on March 14, 2024 and vested in their entirety on the one-year anniversary of the date of grant.

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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March 13, 2025 Filed Mar 17, 2025 18:38 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantOption to Purchase Common Stock (Right to Buy) · Derivative 167,034 $0.00 Strike: $1.74 $0.00
Disclosure

SEC source: 0001213900-25-024643 · marketforms-68605.xml · derivative · entry 19

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 167,034

Underlying: Common Stock · 167,034 shares

Expires 2035-03-13

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
March 13, 2025 Filed Mar 17, 2025 18:38 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantRestricted Stock Units · Derivative 143,678 $0.00 $0.00
Disclosure

SEC source: 0001213900-25-024643 · marketforms-68605.xml · derivative · entry 18

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 143,678

Underlying: Common Stock · 143,678 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock and shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock and shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one (1) share of issuer common stock and shall vest on the one-year anniversary of the date of grant, subject to Mr. Kirk continuously providing services to the issuer or an affiliate from the date of grant until such time.

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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March 13, 2025 Filed Mar 17, 2025 18:38 UTC PRECIGEN, INC. PGEN · Entity 4356 GrantCommon Stock 57,471 $1.74 $99,999.54
Disclosure

SEC source: 0001213900-25-024643 · marketforms-68605.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by. R.J. Kirk DOT

Disclosed balance after: 64,604,685

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Parkview 2020 Limited Partnership ("Parkview 2020"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), Sunset 2020 LLC ("Sunset 2020") and Third Security, LLC ("Third Security"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
December 30, 2024 Filed Dec 30, 2024 19:06 UTC PRECIGEN, INC. PGEN · Entity 4356 PurchaseWarrant to Purchase Common Stock · Derivative 16,666,667 Not disclosed Strike: $0.75 Not disclosed
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 16,666,667

Underlying: Common Stock · 16,666,667 shares

Expires 2034-12-30

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

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

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

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

F4 · ownership.nature: Randal J. Kirk controls the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and shares held by this entity may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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December 30, 2024 Filed Dec 30, 2024 19:06 UTC PRECIGEN, INC. PGEN · Entity 4356 Purchase8.00% Series A Convertible Perpetual Preferred Stock · Derivative 25,000 Not disclosed Strike: $1.13 Not disclosed
Disclosure

SEC source: 0001213900-24-113595 · marketforms-67659.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 25,000

Underlying: Common Stock · 22,222,220 shares

Expires not disclosed

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

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

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

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

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

F4 · ownership.nature: Randal J. Kirk controls the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and shares held by this entity may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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August 09, 2024 Filed Aug 13, 2024 16:15 UTC PRECIGEN, INC. PGEN · Entity 4356 PurchaseCommon Stock 23,529,411 $0.85 $19,999,999.35
Disclosure

SEC source: 0001213900-24-068267 · marketforms-66755.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 64,547,214

F1 · ownership.nature: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC ("Third Security"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Parkview 2020 Limited Partnership ("Parkview 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company, Inc. ("Lotus"), and Sunset 2020 LLC ("Sunset 2020"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 6,085,471 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Third Security

Disclosed balance after: 6,085,471

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

F3 · kind: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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

F3 · shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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

F3 · price: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 8,896,412 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 11

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by R.J. Kirk DOT

Disclosed balance after: 41,017,803

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

F3 · kind: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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

F3 · shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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

F3 · price: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") and Third Security, LLC ("Third Security") received shares in their capacities as members of one or more of these entities. Randal J. Kirk controls each of R.J. Kirk DOT and Third Security. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 691,929 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-039855 · marketforms-65732.xml · nonDerivative · entry 10

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Incentive 2009

Disclosed balance after: 0

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

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

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

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

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 1,383,858 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2009

Disclosed balance after: 0

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

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

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

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

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 832,500 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Incentive 2007

Disclosed balance after: 0

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

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

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

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

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 2,497,500 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Staff 2007

Disclosed balance after: 0

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

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

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

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

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May 02, 2024 Filed May 3, 2024 20:00 UTC PRECIGEN, INC. PGEN · Entity 4356 OtherCommon Stock 4,995,000 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · by Sr. Staff 2007

Disclosed balance after: 0

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

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

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

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

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