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Filing Details

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	Acquisiton	2020-03-02	17,151	$3.38	107,397	No	4	M	Direct
Common Stock	Disposition	2020-03-02	17,151	$11.24	90,246	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	2020-03-02	17,151	$0.00	17,151	$3.38

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
61,256		2028-02-01	No	4	M	Direct

Footnotes

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.