0001357550-20-000062.txt : 20200930 0001357550-20-000062.hdr.sgml : 20200930 20200930163308 ACCESSION NUMBER: 0001357550-20-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200929 FILED AS OF DATE: 20200930 DATE AS OF CHANGE: 20200930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Weiss Asset Management LP CENTRAL INDEX KEY: 0001357550 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 201212591 BUSINESS ADDRESS: STREET 1: 222 BERKELEY STREET, 16TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7780 MAIL ADDRESS: STREET 1: 222 BERKELEY STREET, 16TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: WEISS CAPITAL LLC DATE OF NAME CHANGE: 20060327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEISS ANDREW M CENTRAL INDEX KEY: 0001357643 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 201212592 MAIL ADDRESS: STREET 1: 222 BERKELEY STREET, 16TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WAM GP LLC CENTRAL INDEX KEY: 0001504664 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 201212593 BUSINESS ADDRESS: STREET 1: 222 BERKELEY STREET, 16TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7725 MAIL ADDRESS: STREET 1: 222 BERKELEY STREET, 16TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-09-29 0 0001478121 Pfenex Inc. PFNX 0001357550 Weiss Asset Management LP 222 BERKELEY STREET, 16TH FLOOR BOSTON MA 02116 0 0 1 0 0001357643 WEISS ANDREW M 222 BERKELEY STREET, 16TH FLOOR BOSTON MA 02116 0 0 1 0 0001504664 WAM GP LLC 222 BERKELEY STREET, 16TH FLOOR BOSTON MA 02116 0 0 1 0 Common Stock 2020-09-29 4 S 0 100000 12.7358 D 4220055 I See Footnote 1 Shares reported herein represent shares beneficially owned by two private investment funds for which Weiss Asset Management LP serves as an investment manager. WAM GP LLC is the general partner of Weiss Asset Management LP and Andrew Weiss is the Managing Member of WAM GP LLC. All of Weiss Asset Management LP, WAM GP LLC, and Andrew Weiss disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interest therein. Georgiy Nikitin, Chief Compliance Officer, Weiss Asset Management LP and WAM GP LLC 2020-09-30 Georgiy Nikitin, duly authorized under a power of attorney by Andrew M. Weiss 2020-09-30