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
- 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.
- 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.
- 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.
Billionaire Hedge Funds
