Filing Details
- Accession Number:
- 0001209191-15-031958
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-02 20:31:59
- Reporting Period:
- 2015-04-01
- Filing Date:
- 2015-04-02
- Accepted Time:
- 2015-04-02 20:31:59
- 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 | 2015-04-02 | 1,500 | $17.62 | 116,990 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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) | Acquisiton | 2015-04-01 | 25,000 | $0.00 | 25,000 | $16.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,000 | 2025-04-01 | No | 4 | A | Direct |
Footnotes
- 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 July 25, 2014.
- Represents the weighted average share price of an aggregate total of 1,500 shares sold in the price range of $17.39 to $17.83 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. "Vesting Commencement Date" shall mean April 1, 2015.
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