0000899243-20-016892.txt : 20200617
0000899243-20-016892.hdr.sgml : 20200617
20200617171618
ACCESSION NUMBER: 0000899243-20-016892
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200616
FILED AS OF DATE: 20200617
DATE AS OF CHANGE: 20200617
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: 20970524
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
2020-06-16
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
2020-06-16
4
M
0
770
3.38
A
91016
D
Common Stock
2020-06-16
4
S
0
770
10.2251
D
90246
D
Stock Option (right to buy)
3.38
2020-06-16
4
M
0
770
0.00
D
2028-02-01
Common Stock
770
60486
D
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 770 shares sold in the price range of $10.03 to $10.35 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
2020-06-17