INTREXON CORPORATION
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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46122T102
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(CUSIP Number)
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Third Security, LLC
1881 Grove Avenue
Radford, Virginia 24141
Attention: Marcus E. Smith, Esq.
(540) 633-7900
|
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
|
Copy to:
John Owen Gwathmey, Esq.
David I. Meyers, Esq.
Troutman Sanders LLP
Troutman Sanders Building
1001 Haxall Point
Richmond, Virginia 23219
(804) 697-1239
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May 13, 2019
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(Date of Event which Requires Filing of this Statement)
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CUSIP No. 46122T102
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Page 2 of 12
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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RANDAL J. KIRK
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
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||
(b)
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☒ | ||||
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||||
3
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SEC USE ONLY
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|||
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||||
4
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SOURCE OF FUNDS
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PF
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|||
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||||
5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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☐
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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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70,439,882
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|||
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||||
8
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SHARED VOTING POWER
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||
0
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|||
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||||
9
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SOLE DISPOSITIVE POWER
|
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||
70,439,882
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|||
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||||
10
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SHARED DISPOSITIVE POWER
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||
0
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|||
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||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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70,439,882
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|||
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||||
12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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☐
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||
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||||
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||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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43.7%
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|||
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||||
14
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TYPE OF REPORTING PERSON
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IN
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CUSIP No. 46122T102
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Page 3 of 12
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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R.J. KIRK DECLARATION OF TRUST
31-6661283
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
|
☒ | ||||
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||||
3
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SEC USE ONLY
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|||
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||||
4
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SOURCE OF FUNDS
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PF
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|||
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||||
5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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☐
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||
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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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|||
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||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
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16,924,973
|
|
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|||
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||||
8
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SHARED VOTING POWER
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||
0
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|||
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||||
9
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SOLE DISPOSITIVE POWER
|
|
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||
16,924,973
|
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|||
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||||
10
|
SHARED DISPOSITIVE POWER
|
|
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||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
16,924,973
|
|
|
|||
|
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||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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☐
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||
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||||
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||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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10.5%
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|||
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||||
14
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TYPE OF REPORTING PERSON
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OO - trust
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CUSIP No. 46122T102
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Page 4 of 12
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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THIRD SECURITY, LLC
I.R.S. IDENTIFICATION NO.: 54-1923091
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||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
|
☒ | ||||
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||||
3
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SEC USE ONLY
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|||
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||||
4
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SOURCE OF FUNDS
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WC
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|||
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||||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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☐
|
||
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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Virginia
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|||
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||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
53,368,111
|
|
|
|||
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|
||||
8
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SHARED VOTING POWER
|
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||
0
|
|
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|||
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||||
9
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SOLE DISPOSITIVE POWER
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||
53,368,111
|
|
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|||
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||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
53,368,111
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
33.1%
|
|
|
|||
|
|
||||
14
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TYPE OF REPORTING PERSON
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OO – limited liability company
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CUSIP No. 46122T102
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Page 5 of 12
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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THIRD SECURITY CAPITAL PARTNERS V, LLC
I.R.S. IDENTIFICATION NO.: 52-2395642
|
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|||
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||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
|
☒ | ||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
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|
|||
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|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
|
☐
|
||
|
|
||||
|
|
||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
8,325,000
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
8,325,000
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
8,325,000
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
5.2%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
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||
OO – limited liability company
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|
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|||
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CUSIP No. 46122T102
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|
Page 6 of 12
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1
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NAMES OF REPORTING PERSONS
|
|
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
|
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|
|||
NRM VI HOLDINGS I, LLC
I.R.S. IDENTIFICATION NO.: 27-1471440
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
|
☒ | ||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Virginia
|
|
|
|||
|
|
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
13,340,645
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
13,340,645
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
13,340,645
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
8.3%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
|
||
OO – limited liability company
|
|
|
|||
|
|
CUSIP No. 46122T102
|
|
Page 7 of 12
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
|
|
|
|||
KAPITAL JOE, LLC
I.R.S. IDENTIFICATION NO.: 45-2595931
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
|
☒ | ||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Virginia
|
|
|
|||
|
|
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
14,140,139
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
14,140,139
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
14,140,139
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
8.8%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
|
||
OO – limited liability company
|
|
|
|||
|
|
CUSIP No. 46122T102
|
|
Page 8 of 12
|
Item 3.
|
Source and Amount of Funds or Other Consideration.
|
Entity
|
Number of Purchased
Shares
|
Percentage of Shares
of Common Stock
Purchased
|
|||||
RJ DOT
|
734,219
|
35.026
|
%
|
||||
JPK 2008, LLC
|
19,956
|
0.952
|
%
|
||||
JPK 2009, LLC
|
151,472
|
7.226
|
%
|
||||
JPK 2012, LLC
|
67,373
|
3.214
|
%
|
||||
MGK 2008, LLC
|
19,159
|
0.914
|
%
|
||||
MGK 2009, LLC
|
157,509
|
7.514
|
%
|
||||
MGK 2011, LLC
|
68,379
|
3.262
|
%
|
||||
ZSK 2008, LLC
|
18,823
|
0.898
|
%
|
||||
ZSK 2009, LLC
|
14,045
|
0.670
|
%
|
||||
Kellie L. Banks (2009) Long Term Trust
|
6,792
|
0.324
|
%
|
||||
Third Security Senior Staff 2015 LLC
|
335,393
|
16.000
|
%
|
||||
Third Security Staff 2015 LLC
|
335,393
|
16.000
|
%
|
||||
Third Security Incentive 2010 LLC
|
167,696
|
8.000
|
%
|
CUSIP No. 46122T102
|
|
Page 9 of 12
|
Item 4.
|
Purpose of Transaction.
|
Item 5.
|
Interest in Securities of the Issuer.
|
CUSIP No. 46122T102
|
|
Page 10 of 12
|
Reporting Person
|
Amount of Common Stock
Beneficially Owned |
Percent
of Class |
Sole Power
to Vote or Direct the Vote |
Shared
Power to Vote or Direct the Vote |
Sole Power to
Dispose or to Direct the Disposition |
Shared Power to
Dispose or to Direct the Disposition |
||||||||||||||||||
Randal J. Kirk
|
70,439,882
|
43.7
|
%
|
70,439,882
|
--
|
70,439,882
|
--
|
|||||||||||||||||
R.J. Kirk Declaration of Trust
|
16,924,973
|
10.5
|
%
|
16,924,973
|
--
|
16,924,973
|
||||||||||||||||||
Third Security, LLC
|
53,368,111
|
33.1
|
%
|
53,368,111
|
--
|
53,368,111
|
--
|
|||||||||||||||||
Third Security Capital Partners V, LLC
|
8,325,000
|
5.2
|
%
|
8,325,000
|
--
|
8,325,000
|
--
|
|||||||||||||||||
NRM VI Holdings I, LLC
|
13,340,645
|
8.3
|
%
|
13,340,645
|
--
|
13,340,645
|
--
|
|||||||||||||||||
Kapital Joe, LLC
|
14,140,139
|
8.8
|
%
|
14,140,139
|
--
|
14,140,139
|
--
|
CUSIP No. 46122T102
|
|
Page 11 of 12
|
Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of
the Issuer.
|
Item 7.
|
Material to be Filed as Exhibits.
|
Exhibit 1
|
Joint Filing Agreement, dated as of May 15, 2019, by and among Randal J. Kirk, the R.J. Kirk Declaration of Trust, Third Security, LLC, Third Security Capital
Partners V, LLC, Kapital Joe, LLC, and NRM VI Holdings I, LLC.
|
CUSIP No. 46122T102
|
|
Page 12 of 12
|
Date: May 15, 2019
|
||
/s/ Randal J. Kirk
|
||
Randal J. Kirk
|
||
R.J. KIRK DECLARATION OF TRUST
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Trustee
|
||
THIRD SECURITY, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
THIRD SECURITY CAPITAL PARTNERS V, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
KAPITAL JOE, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
NRM VI HOLDINGS I, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
Joint Filing Agreement, dated as of May 15, 2019, by and among Randal J. Kirk, the R.J. Kirk Declaration of Trust, Third Security, LLC, Third
Security Capital Partners V, LLC, Kapital Joe, LLC, and NRM VI Holdings I, LLC.
|
Date: May 15, 2019
|
||
/s/ Randal J. Kirk
|
||
Randal J. Kirk
|
||
R.J. KIRK DECLARATION OF TRUST
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Trustee
|
||
THIRD SECURITY, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
THIRD SECURITY CAPITAL PARTNERS V, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
KAPITAL JOE, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|
||
NRM VI HOLDINGS I, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Randal J. Kirk
|
||
Manager
|