SEC Form 4 · accession 0000899243-16-033618
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 15, 2016
Accepted (ET)
Nov 15, 2016 · 8:02 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,F3 | Nov 15, 2016 | S | 5,000 | $10.0415 | D | 102,090 | 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 August 12, 2016.
- F2Represents the weighted average share price of an aggregate total of 5,000 shares sold in the price range of $9.75 to $10.15 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 February 16, 2016 and 700 shares acquired under the PFNX employee stock purchase plan on August 15, 2016.