SEC Filing - Precigen

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Shah Rutul R

(Last)

(First)

(Middle)

20374 SENECA MEADOWS PARKWAY

(Street)

GERMANTOWN

20876

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/01/2022

3. Issuer Name and Ticker or Trading Symbol
PRECIGEN, INC. [ PGEN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Operating Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	52,895	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Option to Purchase Common Stock (Right to Buy)	⁽¹⁾	09/04/2024	Common Stock	4,944	17.34	D
Option to Purchase Common Stock (Right to Buy)	⁽¹⁾	03/12/2025	Common Stock	2,597	45.69	D
Option to Purchase Common Stock (Right to Buy)	⁽¹⁾	03/10/2026	Common Stock	2,510	34.85	D
Option to Purchase Common Stock (Right to Buy)	⁽¹⁾	03/16/2027	Common Stock	5,000	21.38	D
Option to Purchase Common Stock (Right to Buy)	⁽¹⁾	03/23/2028	Common Stock	4,000	15.8	D
Option to Purchase Common Stock (Right to Buy)	⁽²⁾	06/18/2029	Common Stock	40,000	8.6	D
Option to Purchase Common Stock (Right to Buy)	⁽³⁾	07/16/2030	Common Stock	60,000	4.67	D
Option to Purchase Common Stock (Right to Buy)	⁽⁴⁾	04/21/2031	Common Stock	100,000	8.17	D
Option to Purchase Common Stock (Right to Buy)	⁽⁵⁾	02/02/2032	Common Stock	200,000	2.33	D

Explanation of Responses:

1. The stock options are fully vested.

2. 30,000 of the stock options are fully vested. The remaining stock options vest on June 18, 2023.

3. 30,000 of the stock options are fully vested. The remaining stock options vest in equal installments on each of July 16, 2023 and July 16, 2024.

4. 25,000 of the stock options are fully vested. The remaining stock options vest in equal installments on each of April 21, 2023, April 21, 2024 and April 21, 2025.

5. These stock options vest in equal installments on each of February 2, 2023, February 2, 2024, February 2, 2025 and February 2, 2026.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Rutul R. Shah, by Donald P. Lehr, as attorney-in-fact	10/11/2022
	** 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 5 (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.

Exhibit 24

SECTION 16

POWER OF ATTORNEY

I, Rutul Shah, do hereby constitute and appoint Donald P. Lehr, my true and lawful attorneys-in-fact, either of whom acting singly is hereby authorized, for me and in my name and on my behalf as a director, officer and/or shareholder of PRECIGEN, INC. to (i) prepare, execute in my name and on my behalf, and submit to the U.S. Securities and Exchange Commission (the SEC) a Form ID, including any necessary amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling me to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC in respect thereof; and (ii) prepare, execute and file any and all forms, instruments or documents, including any necessary amendments thereto, as such attorneys or attorney deems necessary or advisable to enable me to comply with Section 16 of the Securities Exchange Act of 1934 or any rule or regulation of the SEC in respect thereof (collectively, Section 16). I do hereby ratify and confirm all acts my said attorney shall do or cause to be done by virtue hereof. I acknowledge that the foregoing attorneys-in-fact, serving in such capacity at my request, are not assuming, nor is PRECIGEN, INC. assuming, any of my responsibilities to comply with Section 16.

This power of attorney shall remain in full force and effect until it is revoked by the undersigned in a signed writing delivered to each such attorney-in-fact or the undersigned is no longer required to comply with Section 16, whichever occurs first.

WITNESS the execution hereof this 14th day of September, 2022.

/s/ Rutul Shah______

Rutul Shah