0000899243-17-021367.txt : 20170901 0000899243-17-021367.hdr.sgml : 20170901 20170901170630 ACCESSION NUMBER: 0000899243-17-021367 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170901 FILED AS OF DATE: 20170901 DATE AS OF CHANGE: 20170901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schimmelpennink Evert B. CENTRAL INDEX KEY: 0001713795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 171066856 MAIL ADDRESS: STREET 1: C/O PFENEX INC. STREET 2: 10790 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-09-01 0 0001478121 Pfenex Inc. PFNX 0001713795 Schimmelpennink Evert B. C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 1 1 0 0 See Remarks Stock Option (right to buy) 3.52 2017-09-01 4 A 0 313710 0.00 A 2027-09-01 Common Stock 313710 313710 D Stock Option (right to buy) 3.52 2017-09-01 4 A 0 36290 0.00 A 2027-09-01 Common Stock 36290 36290 D Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2016 Inducement Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean August 3, 2017. Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean August 3, 2017. Chief Executive Officer, President & Secretary /s/ Paul Wagner, as Attorney-in-Fact 2017-09-01