Filing Details

Accession Number:
0000899243-16-033618
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-15 20:02:53
Reporting Period:
2016-11-15
Filing Date:
2016-11-15
Accepted Time:
2016-11-15 20:02:53
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
1612843 K. Patrick Lucy C/O Pfenex Inc., 10790 Roselle Street
San Diego CA 92121
Chief Business 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 Disposition 2016-11-15 5,000 $10.04 102,090 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. 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 August 12, 2016.
  2. Represents the weighted average share price of an aggregate total of 5,000 shares sold in the price range of $9.75 to $10.15 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.
  3. Includes 700 shares acquired under the PFNX employee stock purchase plan on February 16, 2016 and 700 shares acquired under the PFNX employee stock purchase plan on August 15, 2016.