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Filing Details

Accession Number:: 0001209191-14-049734
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-31 16:12:22
Reporting Period:: 2014-07-29

Filing Date:: 2014-07-31
Accepted Time:: 2014-07-31 16:12:22
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
1184312	C James Gale	C/O Pfenex Inc., 10790 Roselle Street San Diego CA 92121		Yes	No	No	No

Reported Non-Derivative Transactions

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

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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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	780,928	$0.00
Common Stock	Series A-2 Participating Preferred Stock	Disposition	2014-07-29	2,515,903	$0.00	2,869,638	$0.00

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

Footnotes

Each share of Series A-2 Participating Preferred Stock will automatically convert into approximately 1.1406 shares 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.
Shares held by Signet Healthcare Partners Accredited Partnership III, LP ("SHPAP"). SHPAP has sole voting and dispositive power over the shares, except that (i) Signet Healthcare Partners, LP ("SHP LP"), which manages SHPAP, may be deemed to have shared power to vote and dispose of these shares, and (ii) the reporting person, a managing member and Chief Investment Officer of SHP LP, may be deemed to have shared power to vote and dispose of these shares. The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares.
Shares held by Signet Healthcare Partners QP Partnership III, LP ("SHQP"). SHQP has sole voting and dispositive power over the shares, except that (i) SHP LP, which manages SHQP, may be deemed to have shared power to vote and dispose of these shares, and (ii) the reporting person, a managing member and Chief Investment Officer of SHP LP, may be deemed to have shared power to vote and dispose of these shares. The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares.
As previously disclosed in the Issuer's Registration Statement on Form S-1 (333-196539), at 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, SHAP received 143,009 shares of the Issuer's Common Stock and SHQP received 525,509 shares of the Issuer's Common Stock on July 29, 2014.
As previously disclosed in the Issuer's Registration Statement on Form S-1 (333-196539), on July 29, 2014, the Issuer repurchased 81,475 shares of Common Stock from SHAP and 299,392 shares of Common Stock from SHQP at a purchase price of $0.31 per share.