PFENEX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-10-01: Reporting owner SCHNEIDER PHILLIP M; Form 4; Security Stock Option (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
- 2020-10-01: Reporting owner SCHNEIDER PHILLIP M; Form 4; Security Stock Option (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
- 2020-10-01: Reporting owner SCHNEIDER PHILLIP M; Form 4; Security Stock Option (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
- 2020-10-01: Reporting owner SCHNEIDER PHILLIP M; Form 4; Security Stock Option (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −20,000 0 owned after | $5.30 exercise price | 2020-10-05 | |
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $8.10 exercise price | 2020-10-05 | |
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $4.92 exercise price | 2020-10-05 | |
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.33 exercise price | 2020-10-05 | |
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $5.78 exercise price | 2020-10-05 | |
| 2020-10-01 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −41,000 0 owned after | $6.90 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −41,970 0 owned after | $9.19 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −11,238 0 owned after | $7.47 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −85,000 0 owned after | $7.47 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −60,486 0 owned after | $3.38 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −59,000 0 owned after | $3.90 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −47,500 0 owned after | $10.89 exercise price | 2020-10-05 | |
| 2020-10-01 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −26,671 0 owned after | $11.59 exercise price | 2020-10-05 | |
| 2020-10-01 | Marquet Magda Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −25,000 0 owned after | $4.49 exercise price | 2020-10-05 | |
| 2020-10-01 | Marquet Magda Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-10-01 | Scranton Shawn Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $3.90 exercise price | 2020-10-05 | |
| 2020-10-01 | Scranton Shawn Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −55,000 0 owned after | $10.89 exercise price | 2020-10-05 | |
| 2020-10-01 | Scranton Shawn Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −82,000 0 owned after | $4.97 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −20,000 0 owned after | $6.48 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $8.10 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $4.92 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.33 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $5.78 exercise price | 2020-10-05 | |
| 2020-10-01 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-10-01 | Brenner Martin Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −82,000 0 owned after | $6.15 exercise price | 2020-10-05 | |
| 2020-10-01 | Brenner Martin Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −41,000 0 owned after | $10.89 exercise price | 2020-10-05 | |
| 2020-10-01 | Masuoka Lorianne Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −25,000 0 owned after | $5.95 exercise price | 2020-10-05 | |
| 2020-10-01 | Masuoka Lorianne Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-10-01 | Grenfell-Gardner Jason Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −25,000 0 owned after | $4.92 exercise price | 2020-10-05 | |
| 2020-10-01 | Grenfell-Gardner Jason Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.33 exercise price | 2020-10-05 | |
| 2020-10-01 | Grenfell-Gardner Jason Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $5.78 exercise price | 2020-10-05 | |
| 2020-10-01 | Grenfell-Gardner Jason Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-10-01 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −36,290 0 owned after | $3.52 exercise price | 2020-10-05 | |
| 2020-10-01 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −195,062 0 owned after | $3.38 exercise price | 2020-10-05 | |
| 2020-10-01 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −300,000 0 owned after | $3.90 exercise price | 2020-10-05 | |
| 2020-10-01 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −225,000 0 owned after | $10.89 exercise price | 2020-10-05 | |
| 2020-10-01 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −313,710 0 owned after | $3.52 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −25,000 0 owned after | $7.62 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $8.10 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $4.92 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.33 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $5.78 exercise price | 2020-10-05 | |
| 2020-10-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −18,000 0 owned after | $6.43 exercise price | 2020-10-05 | |
| 2020-06-16 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −770 60,486 owned after | $3.38 exercise price | 2020-06-17 | |
| 2020-05-08 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-05-08 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-05-08 | Grenfell-Gardner Jason Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-05-08 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-05-08 | Masuoka Lorianne Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-05-08 | Marquet Magda Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $6.43 exercise price | 2020-05-11 | |
| 2020-03-02 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,151 61,256 owned after | $3.38 exercise price | 2020-03-03 | |
| 2020-02-03 | Brenner Martin Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,000 41,000 owned after | $10.89 exercise price | 2020-02-03 | |
| 2020-02-03 | Lucy Patrick K. Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,500 47,500 owned after | $10.89 exercise price | 2020-02-03 | |
| 2020-02-03 | Scranton Shawn Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 55,000 owned after | $10.89 exercise price | 2020-02-03 | |
| 2020-02-03 | Schimmelpennink Evert B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $10.89 exercise price | 2020-02-03 |