0000899243-17-013587.txt : 20170517
0000899243-17-013587.hdr.sgml : 20170517
20170517185325
ACCESSION NUMBER: 0000899243-17-013587
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170516
FILED AS OF DATE: 20170517
DATE AS OF CHANGE: 20170517
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lady Patricia
CENTRAL INDEX KEY: 0001612844
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36540
FILM NUMBER: 17853118
MAIL ADDRESS:
STREET 1: C/O PFENEX INC.
STREET 2: 10790 ROSELLE STREET
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-05-16
0
0001478121
Pfenex Inc.
PFNX
0001612844
Lady Patricia
C/O PFENEX INC., 10790 ROSELLE STREET
SAN DIEGO
CA
92121
0
1
0
0
Chief Accounting Officer
Common Stock
2017-05-16
4
M
0
2000
0.31
A
5500
D
Common Stock
2017-05-16
4
S
0
2000
4.7844
D
3500
D
Stock Option (right to buy)
0.31
2017-05-16
4
M
0
2000
0.00
D
2020-02-03
Common Stock
2000
33519
D
Includes 700 shares acquired under the PFNX employee stock purchase plan on February 15, 2017.
Represents the weighted average share price of an aggregate total of 2,000 shares sold in the price range of $4.782 to $4.79 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.
Subject to the reporting person's continuing service, twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one (1) year anniversary of the vesting commencement date, and, thereafter, one forty-eighty (1/48th) of the share subject to the option shall vest and become exercisable each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is December 28, 2009.
/s/ Paul Wagner, as Attorney-in-Fact
2017-05-17