PRECIGEN, INC. 10-K

Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities Market Information and Holders of Record Our common stock trades on the Nasdaq Global Select Market, or Nasdaq, under the symbol "PGEN". As of February 15, 2022, we had 327 holders of record of our common stock. The actual number of shareholders is greater than this number of record holders and includes shareholders who are beneficial owners but whose shares are held in street name by brokers and other nominees. This number of holders of record also does not include shareholders whose shares may be held in trust by other entities. Dividends We have never declared or paid any cash dividends on our capital stock. We currently intend to retain earnings, if any, to finance the growth and development of our business and do not expect to pay any cash dividends on our common stock in the foreseeable future. Securities Authorized for Issuance Under Equity Compensation Plans Information about our equity compensation plans is incorporated herein by reference to Item 12 of Part III of this Annual Report. Stock Performance Graph This performance graph shall not be deemed "soliciting material" or to be "filed" with the SEC for purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities under that Section, and shall not be deemed to be incorporated by reference into any filing of Precigen, Inc. under the Securities Act of 1933, as amended, or the Exchange Act. The following graph shows a comparison from December 31, 2016 through December 31, 2021 of the cumulative total return for our common stock; the Standard & Poor's 500 Stock Index, or the S&P 500 Index; and the Nasdaq Biotechnology Index. The graph assumes that $100 was invested at the market close on December 31, 2016 in the common stock of Precigen, Inc., the S&P 500 Index, and the Nasdaq Biotechnology Index, and data for the S&P 500 Index and the Nasdaq Biotechnology Index assumes reinvestments of dividends. The stock price performance of the following graph is not necessarily indicative of future stock price performance. 70 Table of Contents Company / Index Base Period 12/31/2016 3/31/2017 6/30/2017 9/30/2017 12/31/2017 Precigen, Inc. $ 100.00 $ 82.35 $ 100.10 $ 78.99 $ 47.87 S&P 500 Index 100.00 105.53 108.24 112.53 119.42 N asdaq Biotechnology Index 100.00 110.70 117.06 125.98 121.06 Company / Index 3/31/2018 6/30/2018 9/30/2018 12/31/2018 3/31/2019 6/30/2019 9/30/2019 12/31/2019 Precigen, Inc. $ 63.70 $ 57.92 $ 71.55 $ 27.17 $ 21.86 $ 31.83 $ 23.77 $ 22.77 S&P 500 Index 117.96 121.42 130.16 111.97 126.60 131.40 132.96 144.31 Nasdaq Biotechnology Index 120.98 124.55 138.33 109.77 126.67 123.63 112.80 136.56 Company / Index 3/31/2020 6/30/2020 9/30/2020 12/31/2020 3/31/2021 6/30/2021 9/30/2021 12/31/2021 Precigen, Inc. $ 14.13 $ 20.73 $ 14.54 $ 42.38 $ 28.63 $ 27.09 $ 20.73 $ 15.42 S&P 500 Index 115.44 138.48 150.21 167.77 177.45 191.95 192.40 212.89 Nasdaq Biotechnology Index 122.34 154.99 153.52 171.64 170.41 185.66 183.40 170.55 Recent Sales of Unregistered Securities and Use of Proceeds from Registered Securities (a) Sales of Unregistered Securities None. 71 Table of Contents (b) Use of Proceeds None. (c) Issuer Purchases of Equity Securities None. Item 6. [Reserved]