Filing Details
- Accession Number:
- 0001140361-13-033181
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-15 14:44:28
- Reporting Period:
- 2013-08-13
- Filing Date:
- 2013-08-15
- Accepted Time:
- 2013-08-15 14:44:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1356090 | Intrexon Corp | XON | Services-Commercial Physical & Biological Research (8731) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1091823 | J Randal Kirk | C/O Third Security, Llc 1881 Grove Avenue Radford VA 24141 | Chief Executive Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-13 | 4,616,002 | $0.00 | 4,616,002 | No | 4 | C | Indirect | by Kapital Joe |
| Common Stock | Acquisiton | 2013-08-13 | 192,665 | $16.00 | 4,808,667 | No | 4 | C | Indirect | by Kapital Joe |
| Common Stock | Acquisiton | 2013-08-13 | 937,500 | $16.00 | 5,746,167 | No | 4 | P | Indirect | by Kapital Joe |
| Common Stock | Acquisiton | 2013-08-13 | 4,385,317 | $0.00 | 4,385,317 | No | 4 | C | Indirect | by Mascara Kaboom |
| Common Stock | Acquisiton | 2013-08-13 | 105,584 | $16.00 | 4,490,901 | No | 4 | C | Indirect | by Mascara Kaboom |
| Common Stock | Acquisiton | 2013-08-13 | 937,500 | $16.00 | 5,428,401 | No | 4 | P | Indirect | by Mascara Kaboom |
| Common Stock | Acquisiton | 2013-08-13 | 108,844 | $0.00 | 108,844 | No | 4 | C | Indirect | by Alana Czypinski |
| Common Stock | Acquisiton | 2013-08-13 | 6,290 | $16.00 | 115,134 | No | 4 | C | Indirect | by Alana Czypinski |
| Common Stock | Acquisiton | 2013-08-13 | 12,500 | $16.00 | 127,634 | No | 4 | P | Indirect | by Alana Czypinski |
| Common Stock | Acquisiton | 2013-08-13 | 4,392,717 | $0.00 | 4,392,717 | No | 4 | C | Indirect | by R.J. Kirk DOT |
| Common Stock | Acquisiton | 2013-08-13 | 319,135 | $16.00 | 4,711,852 | No | 4 | C | Indirect | by R.J. Kirk DOT |
| Common Stock | Acquisiton | 2013-08-13 | 11,861,008 | $0.00 | 12,704,440 | No | 4 | C | Indirect | by NRM VI Holdings |
| Common Stock | Acquisiton | 2013-08-13 | 636,205 | $16.00 | 13,340,645 | No | 4 | C | Indirect | by NRM VI Holdings |
| Common Stock | Acquisiton | 2013-08-13 | 19,743,741 | $0.00 | 21,275,607 | No | 4 | C | Indirect | by NRM V |
| Common Stock | Acquisiton | 2013-08-13 | 1,360,445 | $16.00 | 22,636,052 | No | 4 | C | Indirect | by NRM V |
| Common Stock | Acquisiton | 2013-08-13 | 1,266,795 | $0.00 | 1,266,795 | No | 4 | C | Indirect | by Senior Staff 2008 |
| Common Stock | Acquisiton | 2013-08-13 | 89,853 | $16.00 | 1,356,648 | No | 4 | C | Indirect | by Senior Staff 2008 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | by Kapital Joe |
| No | 4 | C | Indirect | by Kapital Joe |
| No | 4 | P | Indirect | by Kapital Joe |
| No | 4 | C | Indirect | by Mascara Kaboom |
| No | 4 | C | Indirect | by Mascara Kaboom |
| No | 4 | P | Indirect | by Mascara Kaboom |
| No | 4 | C | Indirect | by Alana Czypinski |
| No | 4 | C | Indirect | by Alana Czypinski |
| No | 4 | P | Indirect | by Alana Czypinski |
| No | 4 | C | Indirect | by R.J. Kirk DOT |
| No | 4 | C | Indirect | by R.J. Kirk DOT |
| No | 4 | C | Indirect | by NRM VI Holdings |
| No | 4 | C | Indirect | by NRM VI Holdings |
| No | 4 | C | Indirect | by NRM V |
| No | 4 | C | Indirect | by NRM V |
| No | 4 | C | Indirect | by Senior Staff 2008 |
| No | 4 | C | Indirect | by Senior Staff 2008 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series F Convertible Preferred Stock | Disposition | 2013-08-13 | 3,054,236 | $0.00 | 1,745,277 | $0.00 |
| Common Stock | Series F Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 35,193 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 5,023,770 | $0.00 | 2,870,725 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 157,472 | $16.00 |
| Common Stock | Series F Convertible Preferred Stock | Disposition | 2013-08-13 | 3,054,236 | $0.00 | 1,745,277 | $0.00 |
| Common Stock | Series F Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 35,193 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 4,620,071 | $0.00 | 2,640,040 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 70,391 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 190,477 | $0.00 | 108,844 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 6,290 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 2,976,756 | $0.00 | 1,701,003 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 135,550 | $16.00 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2013-08-13 | 4,053,784 | $0.00 | 2,316,448 | $0.00 |
| Common Stock | Series D Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 161,942 | $16.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2013-08-13 | 656,716 | $0.00 | 375,266 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 21,643 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 3,047,620 | $0.00 | 1,741,497 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 100,651 | $16.00 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2013-08-13 | 4,437,870 | $0.00 | 2,535,925 | $0.00 |
| Common Stock | Series D Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 166,147 | $16.00 |
| Common Stock | Series C-3 Convertible Preferred Stock | Disposition | 2013-08-13 | 13,271,277 | $0.00 | 7,583,586 | $0.00 |
| Common Stock | Series C-3 Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 369,407 | $16.00 |
| Common Stock | Series C-2 Convertible Preferred Stock | Disposition | 2013-08-13 | 18,617,020 | $0.00 | 10,638,297 | $0.00 |
| Common Stock | Series C-2 Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 704,551 | $16.00 |
| Common Stock | Series C-1 Convertible Preferred Stock | Disposition | 2013-08-13 | 15,934,528 | $0.00 | 9,105,444 | $0.00 |
| Common Stock | Series C-1 Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 655,894 | $16.00 |
| Common Stock | Series F Convertible Preferred Stock | Disposition | 2013-08-13 | 299,532 | $0.00 | 171,161 | $0.00 |
| Common Stock | Series F Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 2,544 | $16.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2013-08-13 | 1,917,360 | $0.00 | 1,095,634 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock Dividend | Disposition | 2013-08-13 | 0 | $16.00 | 87,309 | $16.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The indicated shares were purchased in the Issuer's initial public offering.
- Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), NRM VI Holdings I, LLC ("NRM VI Holdings"), New River Management V, LP ("NRM V") and Third Security Senior Staff 2008 LLC ("Senior Staff 2008").
- The indicated shares 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.
- The indicated shares represent the number of shares received upon conversion of the Issuer's Convertible Preferred Stock, indicated by Series in Table II.
- Effective upon the closing of the Issuer's firm commitment underwritten initial public offering of its Common Stock, the shares of Convertible Preferred Stock automatically converted at a ratio of 1.75-to-1 into the number of shares of Common Stock shown in column 7. The shares of Convertible Preferred Stock had no expiration date.
- Effective upon the closing of the Issuer's firm commitment underwritten initial public offering all accrued dividends with respect to the shares of Convertible Preferred Stock were converted into shares of Common Stock at the then current fair market value, or $16.00 per share. Payment for partial shares was issued in the form of a monetary refund by the Issuer.
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