PFENEX INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-29: Reporting owner DOW CHEMICAL CO /DE/; Form 4; Security Series A-1 Participating Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner DOW CHEMICAL CO /DE/; Form 4; Security Series A-1 Participating Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner GALE JAMES C; Form 4; Security Series A-2 Participating Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner GALE JAMES C; Form 4; Security Series A-2 Participating Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-29 | DOW CHEMICAL CO /DE/ 10% Owner | 4 | Series A-1 Participating Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −4,032,716 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | DOW CHEMICAL CO /DE/ 10% Owner | 4 | Series A-1 Participating Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −945,945 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GALE JAMES C Director | 4 | Series A-2 Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −684,665 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GALE JAMES C Director | 4 | Series A-2 Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,515,903 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP | SIGNET HEALTHCARE PARTNERS QP PARTNERSHIP II LP 10% Owner | 10% Owner | 4 | Series A-2 Participating Preferred Stock Derivative · Direct | C Conversion of derivative security | −684,665 0 owned after | $0.00 | 2014-07-30 | |
| 2014-07-29 | SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP | SIGNET HEALTHCARE PARTNERS QP PARTNERSHIP II LP 10% Owner | 10% Owner | 4 | Series A-2 Participating Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,515,903 0 owned after | $0.00 | 2014-07-30 | |
| 2014-07-18 holding as of filing | SIGNET HEALTHCARE PARTNERS QP PARTNERSHIP II LP | SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP 10% Owner | 10% Owner | 3 | Series A-2 Participating Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-18 | ||
| 2014-07-18 holding as of filing | SIGNET HEALTHCARE PARTNERS QP PARTNERSHIP II LP | SIGNET HEALTHCARE PARTNERS ACCREDITED PARTNERSHIP III LP 10% Owner | 10% Owner | 3 | Series A-2 Participating Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-18 | ||
| 2014-07-17 holding as of filing | DOW CHEMICAL CO /DE/ 10% Owner | 3 | Series A-1 Participating Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2014-07-17 | ||
| 2014-07-17 holding as of filing | DOW CHEMICAL CO /DE/ 10% Owner | 3 | Series A-1 Participating Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-17 | ||
| 2014-07-17 holding as of filing | GALE JAMES C Director | 3 | Series A-2 Participating Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-17 | ||
| 2014-07-17 holding as of filing | GALE JAMES C Director | 3 | Series A-2 Participating Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-17 |