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