Home > Insider Trading > Filing (0001181431-14-027747)

Filing Details

Accession Number:: 0001181431-14-027747
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-30 17:51:35
Reporting Period:: 2014-07-29

Filing Date:: 2014-07-30
Accepted Time:: 2014-07-30 17:51:35
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1478121	Pfenex Inc.	PFNX	Pharmaceutical Preparations (2834)	271356759

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1433536	Signet Healthcare Partners Accredited Partnership Iii Lp	152 W 57, 19Th Floor New York NY 10019		No	No	Yes	No
1433537	Signet Healthcare Partners Qp Partnership Ii Lp	152 W 57Th Street, 19Th Floor New York NY 10019		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-07-29	780,928	$0.00	862,403	No	4	C	Direct
Common Stock	Acquisiton	2014-07-29	2,869,638	$0.00	3,169,030	No	4	C	Direct
Common Stock	Acquisiton	2014-07-29	143,009	$0.00	1,005,412	No	4	J	Direct
Common Stock	Acquisiton	2014-07-29	525,509	$0.00	3,694,539	No	4	J	Direct
Common Stock	Disposition	2014-07-29	81,475	$0.31	923,937	No	4	S	Direct
Common Stock	Disposition	2014-07-29	299,392	$0.31	3,395,147	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	J	Direct
No	4	J	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-2 Participating Preferred Stock	Disposition	2014-07-29	684,665	$0.00	684,665	$0.00
Comon Stock	Series A-2 Participating Preferred Stock	Disposition	2014-07-29	2,515,903	$0.00	2,515,903	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Direct
0			No	4	C	Direct

Footnotes

Owned by Signet Healthcare Partners Accredited Partnership III, LP. ("SHPAP3") and indirectly by Signet Healthcare GP III, LP, the general partner of SHPAP3; Signet Healthcare Partners LP, the management company for SHPAP3; and Signet Holdings, LLC, the general partner of Signet Healthcare GP III, LP and Signet Healthcare Partners, LP. Signet Healthcare Partners, LP, Signet Healthcare GP III, LP, and Signet Holdings, LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any.
Owned by Signet Healthcare Partners QP Partnership III, LP. ("SHPQP3") and indirectly by Signet Healthcare GP III, LP, the general partner of SHPQP3; Signet Healthcare Partners, LP, the management company for SHPQP3; and Signet Holdings, LLC, the general partner of Signet Healthcare GP III, LP and Signet Healthcare Partners, LP. Signet Healthcare Partners, LP, Signet Healthcare GP III, LP, and Signet Holdings, LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any.
Each share of Series A-2 Participating Preferred Stock automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
In connection with the closing of the Issuer's initial public offering, the Issuer issued shares of Common Stock to pay all accrued but unpaid dividends for the Issuer's Series A-2 Participating Preferred Stock. Based on the initial public offering price of $6.00 per share, SHPAP3 received 143,009 shares of the Issuer's Common Stock and SHPQP3 received 525,509 shares of the Issuer's Common Stock on July 29, 2014.
On July 29, 2014, the Issuer repurchased 81,475 shares of Common Stock from SHPAP3 and 299,392 shares of Common Stock from SHPQP3 at a purchase price of $0.31 per share.