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 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-09-01: Reporting owner Schimmelpennink Evert B.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-09-01: Reporting owner Schimmelpennink Evert B.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-05-16: 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.
- 2017-05-05: Reporting owner Olafsson Sigurdur O; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-09-01 | 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) | +313,710 313,710 owned after | $3.52 exercise price | 2017-09-01 | |
| 2017-09-01 | 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) | +36,290 36,290 owned after | $3.52 exercise price | 2017-09-01 | |
| 2017-05-16 | 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 33,519 owned after | $0.31 exercise price | 2017-05-17 | |
| 2017-05-05 | Olafsson Sigurdur O 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-05-05 | 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-05-05 | 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-05-05 | Grenfell-Gardner Jason 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-05-05 | 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-05-05 | 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 | $4.92 exercise price | 2017-05-08 | |
| 2017-03-01 | Wagner Paul A. Officer (Chief Financial Officer) | 4/A | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 85,000 owned after | $7.47 exercise price | 2017-03-16 | |
| 2017-03-01 | Lucy Patrick K. Officer (See Remarks) | 4/A | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,238 11,238 owned after | $7.47 exercise price | 2017-03-16 | |
| 2017-03-01 | 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) | +85,000 85,000 owned after | $7.47 exercise price | 2017-03-02 | |
| 2017-03-01 | Lucy Patrick K. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 85,000 owned after | $7.47 exercise price | 2017-03-02 | |
| 2017-03-01 | Lucy Patrick K. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 11,238 owned after | $7.47 exercise price | 2017-03-02 | |
| 2017-03-01 | 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) | +25,000 25,000 owned after | $7.47 exercise price | 2017-03-02 | |
| 2017-03-01 | 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) | +85,000 85,000 owned after | $7.47 exercise price | 2017-03-02 |