PFENEX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-01: Reporting owner Scranton Shawn; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-05-09: 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).
- 2018-05-09: Reporting owner Taylor John Mack; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-05-09: Reporting owner Grenfell-Gardner Jason; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-10-01 | Scranton Shawn Officer (SVP, Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82,000 82,000 owned after | $4.97 exercise price | 2018-10-02 | |
| 2018-05-09 | 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 | $6.33 exercise price | 2018-05-10 | |
| 2018-05-09 | 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 | $6.33 exercise price | 2018-05-10 | |
| 2018-05-09 | 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 | $6.33 exercise price | 2018-05-10 | |
| 2018-05-09 | Olafsson Sigurdur O 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 | $6.33 exercise price | 2018-05-10 | |
| 2018-05-09 | 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 | $6.33 exercise price | 2018-05-10 | |
| 2018-03-01 | Knudson Susan 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) | +143,500 143,500 owned after | $3.83 exercise price | 2018-03-01 | |
| 2018-02-01 | 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) | +78,407 78,407 owned after | $3.38 exercise price | 2018-02-02 | |
| 2018-02-01 | 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) | +195,062 195,062 owned after | $3.38 exercise price | 2018-02-02 | |
| 2018-02-01 | 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) | +78,407 78,407 owned after | $3.38 exercise price | 2018-02-02 | |
| 2018-02-01 | Chen Hubert C Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78,407 78,407 owned after | $3.38 exercise price | 2018-02-02 |