SEC Form 4 · accession 0000899243-15-004507
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick K. Lucy
Officer — Chief Business Officer
Period of report
Sep 3, 2015
Accepted (ET)
Sep 4, 2015 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001478121
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Sep 3, 2015 | S | 1,500 | $20.9102 | D | 110,190 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2Represents the weighted average share price of an aggregate total of 1,500 shares sold in the price range of $20.5900 to $21.4200 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.
- F3Includes 700 shares acquired under the PFNX employee stock purchase plan on August 17, 2015.