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