SEC Form 4 · accession 0001019687-15-001693
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James C Gale
Director
Period of report
Apr 29, 2015
Accepted (ET)
Apr 30, 2015 · 2:44 pm EDT
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 StockF1 | Apr 29, 2015 | S | 1,576,808 | $14.57 | D | 1,818,339 | I | See footnote |
| Common StockF2 | Apr 29, 2015 | S | 330,959 | $14.57 | D | 592,978 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held by Signet Healthcare Partners QP Partnership III LP ("SHQP"). SHQP has sole voting and dispositive power over the shares, except that (i) Signet Holdings LLC ("SH LLC"), the general partner of Signet Healthcare GP III LP ("SHGP"), the general partner of SHQP, may be deemed to have shared power to vote and dispose of these shares, and (ii) the reporting person, the Chief Investment Officer of SH LLC, may be deemed to have shared power to vote and dispose of these shares. The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares.
- F2Shares held by Signet Healthcare Partners Accredited Partnership III LP ("SHPAP"). SHPAP has sole voting and dispositive power over the shares, except that (i) SH LLC, the general partner of SHGP, the general partner of SHPAP may be deemed to have shared power to vote and dispose of these shares, and (ii) the reporting person, the Chief Investment Officer of SH LLC, may be deemed to have shared power to vote and dispose of these shares. The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares.