0000899243-20-002634.txt : 20200203 0000899243-20-002634.hdr.sgml : 20200203 20200203201058 ACCESSION NUMBER: 0000899243-20-002634 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200203 FILED AS OF DATE: 20200203 DATE AS OF CHANGE: 20200203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schimmelpennink Evert B. CENTRAL INDEX KEY: 0001713795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 20570309 MAIL ADDRESS: STREET 1: C/O PFENEX INC. STREET 2: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-03 0 0001478121 Pfenex Inc. PFNX 0001713795 Schimmelpennink Evert B. C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 1 1 0 0 See Remarks Stock Option (right to buy) 10.89 2020-02-03 4 A 0 225000 0.00 A 2030-02-03 Common Stock 225000 225000 D Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2020. Exhibit 24 - Power of Attorney Chief Executive Officer, President & Secretary /s/ Marilyn Bock, as Attorney-in-Fact 2020-02-03 EX-24 2 attachment1.htm EX-24 DOCUMENT

                                                                      Exhibit 24

                               POWER OF ATTORNEY

      The undersigned, as a Section 16 reporting person of Pfenex Inc. (the
"Company"), hereby constitutes and appoints Marilyn Bock, Shawn Scranton, Daniel
Koeppen, Zachary Myers and Cassie Wetzel the undersigned's true and lawful
attorneys-in-fact to:

      1.   complete and execute Forms 3, 4 and 5 and other forms and all
           amendments thereto as such attorneys-in-fact shall in their
           discretion determine to be required or advisable pursuant to Section
           16 of the Securities Exchange Act of 1934 (as amended) and the rules
           and regulations promulgated thereunder, or any successor laws and
           regulations, as a consequence of the undersigned's ownership,
           acquisition or disposition of securities of the Company; and

      2.   do all acts necessary in order to file such forms with the Securities
           and Exchange Commission, any securities exchange or national
           association, the Company and such other person or agency as the
           attorneys-in-fact shall deem appropriate.

      The undersigned, as a Section 16 reporting person of the Company, hereby
revokes any and all prior powers of attorney previously signed by the
undersigned.

      The undersigned hereby ratifies and confirms all that said attorneys-in-
fact and agent shall do or cause to be done by virtue hereof.  The undersigned
acknowledges that the foregoing attorneys-in-fact, in serving in such capacity
at the request of the undersigned, is not assuming, nor is the Company assuming,
any of the undersigned's responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934 (as amended).

      This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorneys-in-fact.

      IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 6th day of January, 2020.



                                 Signature:  /s/ Evert Schimmelpennink
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                                 Print Name:  Evert Schimmelpennink
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