SEC Form 4 · accession 0000899243-17-000705

Pfenex Inc. · PFNX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP

10% Owner

Period of report

Jan 4, 2017

Accepted (ET)

Jan 6, 2017 · 5:28 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
Common Stock, par value $0.001 per share^F1	Jan 4, 2017	S	4,765	$9.5012	D	1,708,302	D
Common Stock, par value $0.001 per share^F1	Jan 5, 2017	S	1,049	$9.5113	D	1,707,253	D
Common Stock, par value $0.001 per share^F2	Jan 4, 2017	S	1,554	$9.5012	D	557,096	D
Common Stock, par value $0.001 per share^F2	Jan 5, 2017	S	342	$9.5113	D	556,754	D

Table II — derivative securities

No Table II lines on this filing.

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.