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