SEC Form 4 · accession 0000899243-16-019541
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Rohn
Director
Period of report
May 6, 2016
Accepted (ET)
May 9, 2016 · 7:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001478121
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $8.10 | May 6, 2016 | A | 18,000 | A | — | May 6, 2026 | Common Stock | 18,000 | 18,000 | D |
Explanation of responses
- F1One hundred percent (100%) of the shares subject to the option shall vest and become exercisable on the date of the next annual meeting of the Issuer's stockholders (the "Annual Meeting") held after May 6, 2016, subject to the reporting person's continuing service through the date of the Annual Meeting.