0000899243-19-023250.txt : 20190910
0000899243-19-023250.hdr.sgml : 20190910
20190910161521
ACCESSION NUMBER: 0000899243-19-023250
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190906
FILED AS OF DATE: 20190910
DATE AS OF CHANGE: 20190910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lucy Patrick K.
CENTRAL INDEX KEY: 0001612843
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36540
FILM NUMBER: 191085514
MAIL ADDRESS:
STREET 1: C/O PFENEX INC.
STREET 2: 10790 ROSELLE STREET
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-09-06
0
0001478121
Pfenex Inc.
PFNX
0001612843
Lucy Patrick K.
C/O PFENEX INC., 10790 ROSELLE STREET
SAN DIEGO
CA
92121
0
1
0
0
Chief Business Officer
Common Stock
2019-09-06
4
S
0
6000
8.0035
D
98622
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 August 23, 2018.
Represents the weighted average share price of an aggregate total of 6,000 shares sold in the price range of $8.00 to $8.05 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.
Includes 700 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2017, 604 shares acquired under the PFNX 2014 employee stock purchase plan on August 15, 2018, 605 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2019, and 623 shares acquired under the PFNX 2014 employee stock purchase plan on August 15, 2019.
/s/ Patricia Lady, as Attorney-in-Fact
2019-09-09