0000899243-17-006107.txt : 20170302 0000899243-17-006107.hdr.sgml : 20170302 20170302171142 ACCESSION NUMBER: 0000899243-17-006107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170301 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pfenex Inc. CENTRAL INDEX KEY: 0001478121 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 271356759 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-352-4400 MAIL ADDRESS: STREET 1: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chen Hubert C CENTRAL INDEX KEY: 0001622297 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 17660011 MAIL ADDRESS: STREET 1: C/O PFENEX INC. STREET 2: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-01 0 0001478121 Pfenex Inc. PFNX 0001622297 Chen Hubert C C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 0 1 0 0 Chief Medical Officer Stock Option (right to buy) 7.47 2017-03-01 4 A 0 85000 0.00 A 2027-03-01 Common Stock 85000 85000 D 25% shall vest on the one year anniversary of the Vesting Commencement Date and 1/48th of the total shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. /s/ Patricia Lady, as Attorney-in-Fact 2017-03-02