0000899243-15-004366.txt : 20150902 0000899243-15-004366.hdr.sgml : 20150902 20150902165144 ACCESSION NUMBER: 0000899243-15-004366 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150901 FILED AS OF DATE: 20150902 DATE AS OF CHANGE: 20150902 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pfenex Inc. CENTRAL INDEX KEY: 0001478121 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 271356759 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-352-4400 MAIL ADDRESS: STREET 1: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Liang Bertrand C. CENTRAL INDEX KEY: 0001507123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 151090009 MAIL ADDRESS: STREET 1: 4365 EXECUTIVE DRIVE, SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-01 0 0001478121 Pfenex Inc. PFNX 0001507123 Liang Bertrand C. C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 1 1 0 0 Chief Executive Officer Common Stock 2015-09-01 4 S 0 4700 20.9766 D 537280 D Common Stock 2015-09-01 4 S 0 300 21.78 D 536980 D The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on July 24, 2014. Represents the weighted average share price of an aggregate total of 4,700 shares sold in the price range of $20.66 to $21.66 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Represents the weighted average share price of an aggregate total of 300 shares sold in the price range of $21.74 to $21.80 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. /s/ Patricia Lady, as Attorney-in-Fact 2015-09-02