Filing Details
- Accession Number:
- 0000899243-19-023699
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-16 20:32:00
- Reporting Period:
- 2019-09-13
- Accepted Time:
- 2019-09-16 20:32:00
- 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 | 2019-09-13 | 3,950 | $10.01 | 94,672 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-09-16 | 1,800 | $10.00 | 92,872 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-09-16 | 250 | $10.01 | 92,622 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| 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 23, 2018.
- Represents the weighted average share price of an aggregate total of 3,950 shares sold in the price range of $10.00 to $10.03 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.
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