Filing Details

Accession Number:
0000899243-16-027620
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-08-18 18:35:03
Reporting Period:
2016-08-18
Filing Date:
2016-08-18
Accepted Time:
2016-08-18 18:35:03
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
1612844 Patricia Lady C/O Pfenex Inc., 10790 Roselle Street
San Diego CA 92121
Chief Accounting Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-08-18 2,000 $0.31 4,800 No 4 M Direct
Common Stock Disposition 2016-08-18 2,000 $9.42 2,800 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2016-08-18 2,000 $0.00 2,000 $0.31
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,519 2020-02-03 No 4 M Direct
Footnotes
  1. Includes 700 shares acquired under the PFNX employee stock purchase plan on August 15, 2016.
  2. 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.