SEC Form 4 · accession 0001209191-15-049114
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
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 6:10 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 | Jun 1, 2015 | S | 5,000 | $18.7017 | D | 551,980 | 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 5,000 shares sold in the price range of $18.3200 to $19.2500 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.