SEC Form 4 · accession 0000899243-16-036287
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Dec 21, 2016 | S | 7,372 | $9.61 | D | 1,810,967 | D | |
| Common Stock, par value $0.001 per shareF1 | Dec 22, 2016 | S | 845 | $9.58 | D | 1,810,122 | D | |
| Common Stock, par value $0.001 per shareF2 | Dec 21, 2016 | S | 2,404 | $9.61 | D | 590,574 | D | |
| Common Stock, par value $0.001 per shareF2 | Dec 22, 2016 | S | 275 | $9.58 | D | 590,299 | D |
Table II — derivative securities
Explanation of responses
- F1Beneficially owned directly by Signet Healthcare Partners QP Partnership III LP ("SHPQP3") and indirectly by Signet Healthcare GP III LP, the general partner of SHPQP3; Signet Healthcare Partners LP, the management company for SHPQP3; and Signet Holdings LLC, the general partner of Signet Healthcare GP III LP and Signet Healthcare Partners LP. Signet Healthcare Partners LP, Signet Healthcare GP III LP and Signet Holdings LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any.
- F2Beneficially owned directly by Signet Healthcare Partners Accredited Partnership III LP ("SHPAP3") and indirectly by Signet Healthcare GP III LP, the general partner of SHPAP3; Signet Healthcare Partners LP, the management company for SHPAP3; and Signet Holdings LLC, the general partner of Signet Healthcare GP III LP and Signet Healthcare Partners LP. Signet Healthcare Partners LP, Signet Healthcare GP III LP and Signet Holdings LLC disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any.
Remarks
This is a joint filing by Signet Healthcare Partners Accredited Partnership III LP, Signet Healthcare Partners QP Partnership III LP, Signet Healthcare GP III LP, Signet Healthcare Partners LP and Signet Holdings LLC. Signet Healthcare Partners Accredited Partnership III LP is the designated filer for Signet Healthcare Partners QP Partnership III LP. Signet Healthcare GP III LP, Signet Healthcare Partners LP, and Signet Holdings LLC. The address of each filer is the same as the designated filer. See notes 1 and 2 above. Signet Healthcare Partners LP, Signet Healthcare GP III LP, and Signet Holdings LLC disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any.