SEC Form 4/A · accession 0000899243-17-007810
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Patrick K. Lucy
Officer — See Remarks
Period of report
Mar 1, 2017
Accepted (ET)
Mar 16, 2017 · 6:06 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,F2 | $7.47 | Mar 1, 2017 | A | 11,238 | A | — | Mar 1, 2027 | Common Stock | 11,238 | 11,238 | D |
Explanation of responses
- F1This amendment is being filed to correct the total number of derivative securities acquired in connection with the Option.
- F21/24th of the total shares subject to the Option shall vest every month after the date of grant such that all shares shall be fully vested on the two year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017.
Remarks
Interim CEO, President and Secretary, and Chief Business Officer