PGEN (NASDAQ: PGEN) files Form 144; lists past issuances and transfers

Rhea-AI Filing Summary

PGEN filed a Form 144 reporting proposed sales of Common Stock. The filing lists historical issuances, private placements, RSU vesting events and a secondary public offering with per-event share counts and dates from 03/01/2013 through 07/03/2018.

Insights

Securities Counsel

Form 144 is a notice of proposed affiliate sales; this filing documents past issuances and transfer events.

Form 144 itself is procedural: it notifies the market of proposed resale by an affiliate under resale rules. The excerpt lists discrete issuance and transfer events (private placements, service agreements, RSU vesting, and a secondary public offering) with dates and share counts.

Cash‑flow treatment and the precise amount proposed for resale on are not stated in the excerpt; subsequent filings or broker confirmations would show timing and method of any actual sales.

Key Figures

Private Placement (03/01/2013): 1,002,476 shares Private Placement (04/30/2013): 1,251,294 shares Secondary Public Offering (07/03/2018): 934,502 shares +2 more

5 metrics

Private Placement (03/01/2013) 1,002,476 shares 03/01/2013 private placement

Private Placement (04/30/2013) 1,251,294 shares 04/30/2013 private placement

Secondary Public Offering (07/03/2018) 934,502 shares 07/03/2018 secondary public offering

RSU Vesting (12/31/2017) 17,361 shares 12/31/2017 RSU vesting

Service Agreement transfers (11/15/2017) 63,241 shares 11/15/2017 service agreement

Key Terms

Private Placement, RSU Vesting, Secondary Public Offering

3 terms

Private Placement financial

"Private Placement | Issuer | 03/01/2013 | 1,002,476"

A private placement is a way for companies to raise money by selling securities directly to a small group of investors instead of through a public offering. This process is often quicker and less regulated, making it similar to offering a special, exclusive investment opportunity to select individuals or institutions. For investors, it can provide access to unique investment options that are not available on public markets.

RSU Vesting financial

"RSU Vesting | Issuer | 12/31/2017 | 17,361"

RSU vesting is the process by which restricted stock units — a promise by a company to give shares to an employee — become actual, owned shares over time or when certain goals are met. Investors care because vested shares can dilute existing ownership when issued, and the timing of vesting affects when employees can sell shares, which can influence share supply, insider selling patterns, and company incentives.

Secondary Public Offering financial

"Secondary Public Offering | Issuer | 07/03/2018 | 934,502"

A secondary public offering is when a company sells additional shares to the public after its initial sale, often to raise more money or allow early investors to cash out. For investors, it can impact the stock's price by increasing the number of shares available, potentially making the stock more or less valuable depending on demand.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	J.P. Morgan Securities LLC 270 Park Avenue, 10th Floor New York NY 10017	4772781	17516106.27	353928672	03/30/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	03/01/2013	Private Placement	Issuer			1002476	03/01/2013	Cash
Common Stock	04/30/2013	Private Placement	Issuer			1251294	04/30/2013	Cash
Common Stock	03/27/2014	Private Placement	Issuer			184591	03/27/2014	Cash
Common Stock	12/29/2017	Private Placement	Issuer			1207980	12/29/2017	Cash
Common Stock	11/15/2017	Service Agreement	Issuer			63241	11/15/2017	N/A
Common Stock	12/15/2017	Service Agreement	Issuer			63291	12/15/2017	N/A
Common Stock	12/31/2017	RSU Vesting	Issuer			17361	12/31/2017	N/A
Common Stock	01/31/2018	RSU Vesting	Issuer			15384	01/31/2018	N/A
Common Stock	02/28/2018	RSU Vesting	Issuer			15360	02/28/2018	N/A
Common Stock	10/31/2018	RSU Vesting	Issuer			17301	10/31/2018	N/A
Common Stock	07/03/2018	Secondary Public Offering	Issuer			934502	07/03/2018	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does PGEN's Form 144 mean for shareholders?

It notifies the SEC and market of proposed affiliate sales of Common Stock. The filing lists historical issuances and transfer events with per‑event share counts and dates from 2013–2018.

Which types of stock transactions are listed in the PGEN Form 144 excerpt?

The excerpt lists Private Placements, Service Agreement transfers, RSU vesting, and a Secondary Public Offering, each with a date and a share count where shown.

Does the Form 144 excerpt state how many shares are being offered for resale now?

The excerpt documents past issuances and per‑event share counts but does not state a single aggregated number for shares being offered for resale in this notice.

Are monetary proceeds or timing of sales disclosed in this Form 144 excerpt?

No. The excerpt lists dates and share counts for past events; it does not disclose proceeds amounts or the timing/method of any proposed resale transactions.