1 |
NAME OF REPORTING PERSON:
Sanders Morris Harris LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
760224835
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
[ ] (a)
[ ] (b)
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3 |
SEC USE ONLY
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4 |
SOURCE OF FUNDS:
SMH LLC in its capacity as a Broker Dealer, used funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 |
SOLE VOTING POWER
5,659,664
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8 |
SHARED VOTING POWER
0
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9 |
SOLE DISPOSITIVE POWER
5,659,664
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10 |
SHARED DISPOSITIVE POWER
0
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,659,664
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5%
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14 |
TYPE OF REPORTING PERSON
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E)
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ITEM 1. | SECURITY AND ISSUER: |
PFENEX INC |
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ITEM 2. | IDENTITY AND BACKGROUND: |
Common Stock no par value | |
ITEM 3. | SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: |
Funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned | |
ITEM 4. | PURPOSE OF TRANSACTION: |
The Securities reported as beneficially owned were purchased by SMH LLC in its capacity as a Broker Dealer on behalf of its clients for investment purposes in the ordinary course of business. | |
ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER: |
none | |
ITEM 6. | CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER: |
none | |
ITEM 7. | MATERIALS TO BE FILES AS EXHIBITS: |
none |
December 08 2017 |
Sanders Morris Harris LLC
By:
/s/ David Block
Name:
David Block
Title:
Operations Manager
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