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