0000899243-18-002751.txt : 20180202
0000899243-18-002751.hdr.sgml : 20180202
20180202200733
ACCESSION NUMBER: 0000899243-18-002751
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180201
FILED AS OF DATE: 20180202
DATE AS OF CHANGE: 20180202
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: 18572562
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
2018-02-01
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
Common Stock
2018-02-01
4
A
0
27894
0.00
A
27894
D
Common Stock
2018-02-01
4
F
0
11236
3.38
D
16658
D
Stock Option (right to buy)
3.38
2018-02-01
4
A
0
195062
0.00
A
2028-02-01
Common Stock
195062
195062
D
Grant of restricted stock units pursuant to the Issuer's 2014 Equity Incentive Plan. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on the February 1, 2018.
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 February 1, 2018.
Chief Executive Officer, President & Secretary
/s/ Patricia Lady, as Attorney-in-Fact
2018-02-02