0000899243-18-012321.txt : 20180510 0000899243-18-012321.hdr.sgml : 20180510 20180510160656 ACCESSION NUMBER: 0000899243-18-012321 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180509 FILED AS OF DATE: 20180510 DATE AS OF CHANGE: 20180510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grenfell-Gardner Jason CENTRAL INDEX KEY: 0001555152 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36540 FILM NUMBER: 18822518 MAIL ADDRESS: STREET 1: 105 LINCOLN AVENUE CITY: BUENA STATE: NJ ZIP: 08310 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 2018-05-09 0 0001478121 Pfenex Inc. PFNX 0001555152 Grenfell-Gardner Jason C/O PFENEX INC., 10790 ROSELLE STREET SAN DIEGO CA 92121 1 0 0 0 Stock Option (right to buy) 6.33 2018-05-09 4 A 0 18000 0.00 A 2028-05-09 Common Stock 18000 18000 D One hundred percent (100%) of the shares subject to the option shall vest and become exercisable on the date of the next annual meeting of the Issuer's stockholders (the "Annual Meeting") held after May 9, 2018, subject to the reporting person's continuing service through the date of the Annual Meeting. Notwithstanding the foregoing, one hundred percent (100%) of the shares subject to the option shall vest and become exercisable as of immediately prior to a Change in Control (as such term is defined in the Issuer's 2014 Equity Incentive Plan). /s/ Patricia Lady, as Attorney-in-Fact 2018-05-10