Precigen COO exercises options, sells 42,924 shares

Rhea-AI Filing Summary

PRECIGEN, INC. Chief Operating Officer Rutul R. Shah exercised stock options to acquire 42,924 shares of common stock at $2.33 per share, then sold the same 42,924 shares at $5.85 per share in an open-market transaction. The sale was made pursuant to a pre-arranged Rule 10b5-1 trading plan adopted by the reporting person. After these transactions, Shah directly holds 497,751 shares of Precigen common stock and retains options covering 157,076 shares.

Insider Trade Summary 10b5-1

Exercise and Sale: 42,924 shares ($151K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Shah Rutul R

Role Chief Operating Officer

Sold 42,924 shs ($251K)

Approx. gross sale proceeds $251K

Approx. exercise cost $100K

Approx. pre-tax spread $151K

Type	Security	Shares	Price	Value
Exercise	Option to Purchase Common Stock (Right to Buy)	42,924	$0.00	$0.00
Exercise	Common Stock	42,924	$2.33	$100K
Sale	Common Stock	42,924	$5.85	$251K

Holdings After Transaction: Option to Purchase Common Stock (Right to Buy) — 157,076 contracts (Direct); Common Stock — 497,751 shares (Direct)

Footnotes (2)

1. F1. Represents shares sold pursuant to the terms of a 10b5-1 plan adopted by the reporting person.
2. F2. The stock options are fully vested.

Key Figures

Shares sold: 42,924 shares Sale price: $5.85/share Options exercised: 42,924 shares +4 more

7 metrics

Shares sold 42,924 shares Common stock sold in open market at $5.85 per share

Sale price $5.85/share Price for 42,924 common shares sold

Options exercised 42,924 shares Common shares acquired via option exercise

Option exercise price $2.33/share Conversion price for exercised stock options

Shares held after 497,751 shares Direct common stock ownership after transactions

Options remaining 157,076 shares Underlying common shares for remaining options

Option expiration February 2, 2032 Expiration date of option to purchase common stock

Key Terms

Rule 10b5-1 trading plan, open-market sale, derivative security, Option to Purchase Common Stock (Right to Buy), +1 more

5 terms

Rule 10b5-1 trading plan regulatory

"Represents shares sold pursuant to the terms of a 10b5-1 plan adopted by the reporting person."

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

open-market sale financial

"Sale in open market or private transaction"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

derivative security financial

"Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

Option to Purchase Common Stock (Right to Buy) financial

"Option to Purchase Common Stock (Right to Buy)"

stock options are fully vested financial

"The stock options are fully vested."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did Precigen (PGEN) COO Rutul Shah report?

Rutul Shah reported exercising options for 42,924 Precigen shares and selling the same 42,924 shares in an open-market transaction. The exercise used options at $2.33 per share, and the sale price was $5.85 per share.

How many Precigen (PGEN) shares did the COO sell and at what price?

The COO sold 42,924 shares of Precigen common stock at $5.85 per share. This open-market sale matched the number of shares acquired through an option exercise on the same date, reflecting an exercise-and-sell pattern.

Were Rutul Shah’s Precigen (PGEN) share sales under a Rule 10b5-1 plan?

Yes. The filing states the 42,924 shares sold were pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Such plans pre-schedule trades, making the timing more routine rather than a discretionary market-timing decision.

How many Precigen (PGEN) shares does the COO hold after these transactions?

After the reported transactions, Rutul Shah directly holds 497,751 shares of Precigen common stock. He also holds stock options covering 157,076 shares, providing additional potential equity exposure if exercised in the future.

What options did the Precigen (PGEN) COO exercise in this Form 4?

He exercised options to purchase 42,924 shares of Precigen common stock at a conversion price of $2.33 per share. A related option position expiring on February 2, 2032 remains, covering 157,076 underlying common shares.

What do transaction codes S and M mean in this Precigen (PGEN) Form 4?

Code S indicates a sale of common stock in the open market or a private transaction. Code M indicates the exercise or conversion of a derivative security, in this case stock options, into common shares that were then sold.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 07/01/2026 - 06:21 PM EDT Learn about SEC filing dates

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Shah Rutul R

(Last) (First) (Middle)

20374 SENECA MEADOWS PARKWAY

(Street)

GERMANTOWN MARYLAND 20876

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
PRECIGEN, INC. [ PGEN ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/29/2026

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

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

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

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	06/29/2026		M		42,924	A	$2.33	540,675	D
Common Stock	06/29/2026		S(1)		42,924	D	$5.85	497,751	D

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
Option to Purchase Common Stock (Right to Buy)	$2.33	06/29/2026		M			42,924	(2)	02/02/2032	Common Stock	42,924	$0	157,076	D

Explanation of Responses:

1. Represents shares sold pursuant to the terms of a 10b5-1 plan adopted by the reporting person.

2. The stock options are fully vested.

	/s/ Rutul R. Shah, by Donald P. Lehr, as attorney-in-fact	07/01/2026
	** 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.
* Form 4: SEC 1474 (03-26)