PFENEX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-01: Reporting owner Chen Hubert C; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-09-24: Reporting owner Campbell Robin; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-07-24: Reporting owner SCHNEIDER PHILLIP M; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-07-24: Reporting owner ROHN WILLIAM R; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-01 | Chen Hubert C Officer (Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +132,290 132,290 owned after | $7.55 exercise price | 2014-12-02 | |
| 2014-09-24 | Campbell Robin Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.48 exercise price | 2014-09-25 | |
| 2014-07-24 | SCHNEIDER PHILLIP M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.30 exercise price | 2014-07-24 | |
| 2014-07-24 | ROHN WILLIAM R Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.30 exercise price | 2014-07-24 | |
| 2014-07-17 holding as of filing | Liang Bertrand C. Director, Officer (Chief Executive Officer) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $11.59 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Wagner Paul A. Officer (Chief Financial Officer) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $11.59 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Lucy Patrick K. Officer (Chief Business Officer) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $11.59 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Talbot Henry W. Jr. Officer (VP of Research & Operations) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $11.59 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Lady Patricia Officer (Chief Accounting Officer) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $0.31 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Lady Patricia Officer (Chief Accounting Officer) | 3 | Stock option (right to buy) Derivative · Direct | Holding | $11.59 exercise price | 2014-07-17 |