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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
1612844	Patricia Lady	C/O Pfenex Inc., 10790 Roselle Street San Diego CA 92121	Chief Accounting 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	2016-11-21	2,000	$0.31	4,800	No	4	M	Direct
Common Stock	Disposition	2016-11-21	2,000	$9.87	2,800	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	2016-11-21	2,000	$0.00	2,000	$0.31

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
35,519		2020-02-03	No	4	M	Direct

Footnotes

Subject to the reporting person's continuing service, twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one (1) year anniversary of the vesting commencement date, and, thereafter, one forty-eighty (1/48th) of the share subject to the option shall vest and become exercisable each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is December 28, 2009.