FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
INTREXON CORP [ XON ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/27/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/27/2014 | P | 243,001 | A | $25.72 | 243,001 | I | by NRM VII Holdings(1) | ||
Common Stock | 4,711,852 | I | by R.J. Kirk DOT(1) | |||||||
Common Stock | 699,586 | I | by JPK 2009(1) | |||||||
Common Stock | 764,206 | I | by MGK 2009(1) | |||||||
Common Stock | 73,668 | I | by ZSK 2009(1) | |||||||
Common Stock | 101,482 | I | by JPK 2008(1) | |||||||
Common Stock | 102,437 | I | MGK 2008(1) | |||||||
Common Stock | 76,611 | I | ZSK 2008(1) | |||||||
Common Stock | 940,426 | I | MGK 2011(1) | |||||||
Common Stock | 818,461 | I | by JPK 2012(1) | |||||||
Common Stock | 131,081 | I | by Kellie L. Banks LTT(1) | |||||||
Common Stock | 179,199 | I | by ADC 2010(1) | |||||||
Common Stock | 5,746,167 | I | by Kapital Joe(1) | |||||||
Common Stock | 5,428,401 | I | by Mascara Kaboom(1) | |||||||
Common Stock | 178,724 | I | by Staff 2001(2) | |||||||
Common Stock | 1,356,648 | I | by Senior Staff 2008(2) | |||||||
Common Stock | 1,356,648 | I | Staff 2010(2) | |||||||
Common Stock | 678,323 | I | by Incentive 2010(2) | |||||||
Common Stock | 1,196,077 | I | by NRM IV(2) | |||||||
Common Stock | 22,636,052 | I | by NRM V(2) | |||||||
Common Stock | 13,340,645 | I | by NRM VI Holdings(2) | |||||||
Common Stock | 1,679,578 | I | by NewVa(2) | |||||||
Common Stock | 127,634 | I | by Alana Czypinski(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Randal J. Kirk controls each of New River Management VII Holdings I, LLC ("NRM VII Holdings"), R.J. Kirk Declaration of Trust ("R.J. DOT"), 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"), MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe") and Mascara Kaboom, LLC ("Mascara Kaboom"). 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. |
2. Randal J. Kirk controls each of Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), New River Management IV, LP ("NRM IV"), New River Management V, LP ("NRM V"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NewVa Capital Partners, LP ("NewVa"). 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. |
Remarks: |
/s/ Randal J. Kirk | 03/31/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |