PFENEX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-21: Reporting owner Lady Patricia; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-03: Reporting owner Sandoval Steven S. Sr.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-08-18: Reporting owner Lady Patricia; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-05-24: Reporting owner Lady Patricia; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-21 | Lady Patricia Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 35,519 owned after | $0.31 exercise price | 2016-11-22 | |
| 2016-10-03 | Sandoval Steven S. Sr. Officer (Chief Manufacturing 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 | $9.09 exercise price | 2016-10-04 | |
| 2016-08-18 | Lady Patricia Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 37,519 owned after | $0.31 exercise price | 2016-08-18 | |
| 2016-05-24 | Lady Patricia Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 39,519 owned after | $0.31 exercise price | 2016-05-25 | |
| 2016-05-06 | 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 | $8.10 exercise price | 2016-05-09 | |
| 2016-05-06 | ROHN WILLIAM R 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 | $8.10 exercise price | 2016-05-09 | |
| 2016-05-06 | FENTON DENNIS 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 | $8.10 exercise price | 2016-05-09 | |
| 2016-05-06 | 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 | $8.10 exercise price | 2016-05-09 | |
| 2016-05-06 | 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 | $8.10 exercise price | 2016-05-09 | |
| 2016-03-01 | Taylor John Mack Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $7.62 exercise price | 2016-03-01 | |
| 2016-02-01 | Talbot Henry W. Jr. Officer (VP of Operations) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,847 16,847 owned after | $9.19 exercise price | 2016-02-01 | |
| 2016-02-01 | Lady Patricia Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,975 34,975 owned after | $9.19 exercise price | 2016-02-01 | |
| 2016-02-01 | 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) | +41,970 41,970 owned after | $9.19 exercise price | 2016-02-01 | |
| 2016-02-01 | 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) | +88,137 88,137 owned after | $9.19 exercise price | 2016-02-01 | |
| 2016-02-01 | Wagner Paul A. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,940 83,940 owned after | $9.19 exercise price | 2016-02-01 | |
| 2016-02-01 | Liang Bertrand C. Director, Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +146,000 146,000 owned after | $9.19 exercise price | 2016-02-01 |