SEC Form 4 · accession 0001209191-15-031901
Pfenex Inc. · PFNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bertrand C. Liang
Officer — Chief Executive Officer · Director
Period of report
Apr 1, 2015
Accepted (ET)
Apr 2, 2015 · 7:21 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 StockF2 | Apr 1, 2015 | S | 4,600 | $15.2039 | D | 562,380 | D | |
| Common StockF3 | Apr 1, 2015 | S | 400 | $15.9725 | D | 561,980 | 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 July 24, 2014.
- F2Represents the weighted average share price of an aggregate total of 4,600 shares sold in the price range of $14.8300 to $15.7500 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.
- F3Represents the weighted average share price of an aggregate total of 400 shares sold in the price range of $15.9500 to $15.9800 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.