X0306 4 2017-01-04 0 0001478121 Pfenex Inc. PFNX 0001433536 SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP 152 WEST 57TH STREET 19TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock, par value $0.001 per share 2017-01-04 4 S 0 4765 9.5012 D 1708302 D Common Stock, par value $0.001 per share 2017-01-05 4 S 0 1049 9.5113 D 1707253 D Common Stock, par value $0.001 per share 2017-01-04 4 S 0 1554 9.5012 D 557096 D Common Stock, par value $0.001 per share 2017-01-05 4 S 0 342 9.5113 D 556754 D Beneficially owned directly by Signet Healthcare Partners QP Partnership III LP ("SHPQP3") and indirectly by Signet Healthcare GP III LP, the general partner of SHPQP3; Signet Healthcare Partners LP, the management company for SHPQP3; and Signet Holdings LLC, the general partner of Signet Healthcare GP III LP and Signet Healthcare Partners LP. Signet Healthcare Partners LP, Signet Healthcare GP III LP and Signet Holdings LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. Beneficially owned directly by Signet Healthcare Partners Accredited Partnership III LP ("SHPAP3") and indirectly by Signet Healthcare GP III LP, the general partner of SHPAP3; Signet Healthcare Partners LP, the management company for SHPAP3; and Signet Holdings LLC, the general partner of Signet Healthcare GP III LP and Signet Healthcare Partners LP. Signet Healthcare Partners LP, Signet Healthcare GP III LP and Signet Holdings LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This is a joint filing by Signet Healthcare Partners Accredited Partnership III LP, Signet Healthcare Partners QP Partnership III LP, Signet Healthcare GP III LP, Signet Healthcare Partners LP and Signet Holdings LLC. Signet Healthcare Partners Accredited Partnership III LP is the designated filer for Signet Healthcare Partners QP Partnership III LP. Signet Healthcare GP III LP, Signet Healthcare Partners LP, and Signet Holdings LLC. The address of each filer is the same as the designated filer. See notes 1 and 2 above. Signet Healthcare Partners LP, Signet Healthcare GP III LP, and Signet Holdings LLC disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any. /s/ James C. Gale, Chief Investment Officer of Signet Holdings, LLC, the general partner of Signet Healthcare GP III, LP, the general partner of Signet Healthcare Partners Accredited Partnership III LP 2017-01-06 /s/ James C. Gale, Chief Investment Officer of Signet Holdings, LLC, the general partner of Signet Healthcare GP III, LP, the general partner of the Signet Healthcare Partners QP Partnership III LP 2017-01-06 /s/ James C. Gale, Chief Investment Officer of Signet Holdings, LLC, the general partner of Signet Healthcare Partners LP and Signet Healthcare GP III LP 2017-01-06