SEC Form 4 · accession 0000899243-15-007648
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
Nov 4, 2015
Accepted (ET)
Nov 5, 2015 · 4:43 pm EST
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 | Nov 4, 2015 | S | 1,300 | $17.4586 | D | 107,390 | D | |
| Common StockF3 | Nov 4, 2015 | S | 200 | $18.045 | D | 107,190 | 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 1,300 shares sold in the price range of $17.00 to $17.85 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.
- F3Represents the weighted average share price of an aggregate total of 200 shares sold in the price range of $18.00 to $18.09 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.