0000899243-20-006774.txt : 20200303 0000899243-20-006774.hdr.sgml : 20200303 20200303180431 ACCESSION NUMBER: 0000899243-20-006774 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200302 FILED AS OF DATE: 20200303 DATE AS OF CHANGE: 20200303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lucy Patrick K. CENTRAL INDEX KEY: 0001612843 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 20684426 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 2020-03-02 0 0001478121 Pfenex Inc. PFNX 0001612843 Lucy Patrick K. C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 0 1 0 0 Chief Business Officer Common Stock 2020-03-02 4 M 0 17151 3.38 A 107397 D Common Stock 2020-03-02 4 S 0 17151 11.2359 D 90246 D Stock Option (right to buy) 3.38 2020-03-02 4 M 0 17151 0.00 D 2028-02-01 Common Stock 17151 61256 D Includes 624 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2020. The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 20, 2019. Represents the weighted average share price of an aggregate total of 17,151 shares sold in the price range of $11.04 to $11.46 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. 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, 2018. /s/ Marilyn Bock, as Attorney-in-Fact 2020-03-03