Precigen (PGEN) Form 4 AquaBounty / RANDAL J KIRK ownership change

SEC Form 4

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^*

KIRK RANDAL J

(Last) (First) (Middle)

C/O THIRD SECURITY, LLC

1881 GROVE AVENUE

(Street)

RADFORD VA 24141

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
AquaBounty Technologies, Inc. [ AQB ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
10/29/2019

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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								8,239,199(1)	I	by TS AquaCulture(3)
Common Stock								0(1)	I	by Intrexon(2)
Common Stock								200,519	I	by R.J. Kirk DOT(3)
Common Stock								5,775	I	by Third Security(3)
Common Stock								4,659	I	by Staff 2001(3)
Common Stock								20	I	by Lotus(3)
Common Stock								2,080	I	by JPK 2008(3)
Common Stock								2,095	I	by MGK 2008(3)
Common Stock								1,708	I	by ZSK 2008(3)
Common Stock								10,784	I	by JPK 2009(3)
Common Stock								12,726	I	by MGK 2009(3)
Common Stock								1,132	I	by ZSK 2009(3)
Common Stock								12,617	I	by JPK 2012(3)
Common Stock								2,021	I	by Kellie L. Banks LTT(3)
Common Stock								1,770	I	by Senior Staff 2006(3)
Common Stock								885	I	by Staff 2006(3)
Common Stock								295	I	by Incentive 2006(3)
Common Stock								99,537	I	by Kapital Joe(4)
Common Stock								82,083	I	by Mascara Kaboom(4)
Common Stock								880	I	by Sr. Staff(4)
Common Stock								3,199	I	by ADC 2010(4)
Common Stock								14,076	I	by MGK 2011(4)
Common Stock								20,306	I	by Senior Staff 2008(4)
Common Stock								20,306	I	by Staff 2010(4)
Common Stock								10,153	I	by Incentive 2010(4)
Common Stock								199,682	I	by NRM VI Holdings(4)
Common Stock								3,637	I	by NRM VII Holdings(4)
Common Stock								124,609	I	by TSCP V(4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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

1. Name and Address of Reporting Person^*

KIRK RANDAL J

(Last) (First) (Middle)

C/O THIRD SECURITY, LLC

1881 GROVE AVENUE

(Street)

RADFORD VA 24141

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

INTREXON CORP

(Last) (First) (Middle)

C/O LEGAL DEPARTMENT

20374 SENECA MEADOWS PARKWAY

(Street)

GERMANTOWN MD 20876

(City) (State) (Zip)

Explanation of Responses:

1. On October 29, 2019, TS AquaCulture LLC, a Virginia limited liability company that is managed by Third Security, LLC, which is managed by Randal J. Kirk ("TS AquaCulture"), entered into a Stock Purchase Agreement with Intrexon Corporation ("Intrexon"), pursuant to which TS AquaCulture purchased 8,239,199 shares of common stock of the issuer from Intrexon, at a purchase price of $2.62 per share.

2. Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Shares held by Intrexon 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.

3. Randal J. Kirk controls each of TS AquaCulture, R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC, ("Third Security"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). 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.

4. Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Third Security Capital Partners V, LLC ("TSCP V"). 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	10/31/2019
	/s/ Randal J. Kirk, CEO of Intrexon Corporation	10/31/2019
	** Signature of Reporting Person	Date
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