Filing Details
- Accession Number:
- 0001085146-18-000100
- Form Type:
- 13D Filing
- Publication Date:
- 2018-01-11 14:14:06
- Filed By:
- Sanders Morris Harris Llc
- Company:
- Pfenex Inc. (NYSEMKT:PFNX)
- Filing Date:
- 2018-01-11
- SEC Url:
- 13D Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Sanders Morris Harris | 8 | 1,634,806 | 10 | 1,634,806 | 1,634,806 | 6.94% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
PFENEX INC
(Name of Issuer)
(Title of Class of Securities)
717071104
(CUSIP Number)
(Name, Address and Telephone Number of Person Authorized to Receieve Notices and Communications)
January 11, 2018
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject
of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [ ]
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with
respect to the subject class of securities, and for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page
The information required on the remainder of this cover page shall not be deemed to be filed for the purposes of
Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section
of the Act but shall be subject to all other provisions of the Act (however, see the Instructions).
CUSIP No.: 717071104
| ITEM 1. | SECURITY AND ISSUER: |
| PFENEX INC | |
| ITEM 2. | IDENTITY AND BACKGROUND: |
| Common Stock no par value | |
| ITEM 3. | SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: |
| Funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned | |
| ITEM 4. | PURPOSE OF TRANSACTION: |
| The Securities reported as beneficially owned were purchased by SMH LLC in its capacity as a Broker Dealer on behalf of its clients for investment purposes in the ordinary course of business. | |
| ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER: |
| none | |
| ITEM 6. | CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER: |
| none | |
| ITEM 7. | MATERIALS TO BE FILES AS EXHIBITS: |
| none |