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) 05/31/2019 | ||||||||||||||||||||||||||
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 | 05/31/2019 | P | 36,171(1) | A | $4.78(1) | 828,164 | I | by Sr. Staff 2015(2) | ||
Common Stock | 06/04/2019 | P | 18,048(1) | A | $5.17(1) | 846,212 | I | by Sr. Staff 2015(2) | ||
Common Stock | 05/31/2019 | P | 36,171(1) | A | $4.78(1) | 828,164 | I | by Staff 2015(2) | ||
Common Stock | 06/04/2019 | P | 18,048(1) | A | $5.17(1) | 846,212 | I | by Staff 2015(2) | ||
Common Stock | 05/31/2019 | P | 18,086(1) | A | $4.78(1) | 1,069,299 | I | by Incentive 2010(2) | ||
Common Stock | 06/04/2019 | P | 9,024(1) | A | $5.17(1) | 1,078,323 | I | by Incentive 2010(2) | ||
Common Stock | 14,140,139 | I | by KJ(2) | |||||||
Common Stock | 8,325,000 | I | by TSCP V(2) | |||||||
Common Stock | 311,287 | I | by Staff 2001(2) | |||||||
Common Stock | 1,403 | I | by Lotus(2) | |||||||
Common Stock | 19,711 | I | by Inc 2006(2) | |||||||
Common Stock | 118,266 | I | by Sr Staff 2006(2) | |||||||
Common Stock | 59,133 | I | by Staff 2006(2) | |||||||
Common Stock | 5,483,957 | I | by MK(2) | |||||||
Common Stock | 58,800 | I | by Sr Staff(2) | |||||||
Common Stock | 213,805 | I | by ADC 2010(2) | |||||||
Common Stock | 1,356,648 | I | by Sr Staff 2008(2) | |||||||
Common Stock | 1,356,648 | I | by Staff 2010(2) | |||||||
Common Stock | 13,340,645 | I | by VI Holdings(2) | |||||||
Common Stock | 243,001 | I | by VII Holdings(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. Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), Third Security Staff 2015 LLC ("Staff 2015"), Third Security Incentive 2010 LLC ("Incentive 2010") purchased shares at the same price per share. |
2. Mr. Kirk controls each of Sr. Staff 2015, Staff 2015, Incentive 2010, Kapital Joe, LLC ("KJ"), Third Security Capital Partners V, LLC ("TSCP V"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Incentive 2006 LLC ("Inc 2006"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Mascara Kaboom, LLC ("MK "), Third Security Senior Staff LLC ("Sr Staff"), ADC 2010, LLC ("ADC 2010"), Third Security Senior Staff 2008 LLC ("Sr Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), NRM VI Holdings I, LLC ("VI Holdings") and NRM VII Holdings I, LLC ("VII Holdings"). 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. |
/s/ Randal J. Kirk | 06/04/2019 | |
** 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. |