PFENEX INC. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2020-10-01: Form 8-K; Period of report 2020-10-01; Description 2.01 Completion of Acquisition or Disposition of Assets; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 3.03 Material Modification to Rights of Security Holders; 5.01 Changes in Control of Registrant; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 7.01 Regulation FD Disclosure; Details 2.01.
- 2020-08-11: Form 8-K; Period of report 2020-08-10; Description 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events; Details 1.01.
- 2020-08-06: Form 8-K; Period of report 2020-08-06; Description 2.02 Results of Operations and Financial Condition.
- 2020-06-26: Form 8-K; Period of report 2020-06-26; Description 8.01 Other Events; Details 8.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2020-10-01 | 8-K | 2020-10-01 | 2.01 Completion of Acquisition or Disposition of Assets; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 3.03 Material Modification to Rights of Security Holders; 5.01 Changes in Control of Registrant; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 7.01 Regulation FD Disclosure | 2.01 On October 1, 2020, Ligand Pharmaceuticals Incorporated, a Delaware corporation (“Ligand”), completed the previously announced acquisition of Pfenex Inc., a Delaware corporation (“Pfenex”), pursuant to the Agreement and Plan of Merger (the “Merger Agreement”), dated as of August 10, 2020, by and among Ligand, Pfenex and Pelican Acquisition Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Ligand (“Acquisition Sub”). 3.01 Before the market opened on October 1, 2020, in connection with the consummation of the Offer and the Merger, Pfenex (i) notified the New York Stock Exchange American (“NYSE American”) of the consummation of the Merger and (ii) requested that NYSE American file with the SEC a Form 25 Notification of Removal from Listing and/or Registration to delist and deregister the Shares under Section 12(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). 3.03 As a result of the Merger, each Share that was issued and outstanding immediately prior to the Effective Time (other than any Shares that were excluded pursuant to the terms of the Merger Agreement) was converted into the right to receive the Offer Price at the Effective Time. 5.01 At the Effective Time, Acquisition Sub merged with and into Pfenex, with Pfenex continuing as the surviving corporation and a wholly owned subsidiary of Ligand. 5.02 In connection with the Merger and as contemplated by the Merger Agreement, upon the consummation of the Merger, the directors of Acquisition Sub, John L. Higgins, Charles S. Berkman, Matthew W. Foehr and Matthew Korenberg, became the only directors of Pfenex. 5.03 In connection with the consummation of the Merger, the certificate of incorporation and bylaws of Acquisition Sub became the certificate of incorporation and bylaws, respectively, of Pfenex. 7.01 On September 30, 2020, Ligand issued a press release announcing the consummation of the Offer. | d939421d8k.htm |
| 2020-08-11 | 8-K | 2020-08-10 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On August 10, 2020, the Company issued a press release announcing the entry into the Merger Agreement, a copy of which is attached as Exhibit 99.3 and is incorporated herein by reference. | d51616d8k.htm |
| 2020-08-06 | 8-K | 2020-08-06 | 2.02 Results of Operations and Financial Condition | pfnx-8k_20200806.htm | |
| 2020-06-26 | 8-K | 2020-06-26 | 8.01 Other Events | 8.01 On June 26, 2020, Pfenex Inc. (the “Company”) issued a press release announcing that Theramex, the European commercialization partner for the Company and Adalvo (formerly Alvogen B2B), received a positive opinion for PF708 (branded in Europe as Livogiva™) from the Committee for Medicinal Products for Human Use (CHMP) of the European Medicines Agency (EMA). | pfnx-8k_20200629.htm |
| 2020-06-12 | 8-K | 2020-06-12 | 8.01 Other Events | 8.01 On June 12, 2020, Pfenex Inc. issued a press release announcing that its commercialization partner, Alvogen, has launched Teriparatide Injection (also referred to as PF708 and Bonsity™) in the United States. | pfnx-8k_20200612.htm |
| 2020-05-11 | 8-K | 2020-05-08 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 On May 8, 2020, Pfenex Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”). | d893545d8k.htm |
| 2020-05-07 | 8-K | 2020-05-07 | 2.02 Results of Operations and Financial Condition | pfnx-8k_20200507.htm | |
| 2020-05-07 | 8-K | 2020-05-07 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d888985d8k.htm |
| 2020-04-23 | 8-K | 2020-04-21 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 Effective April 21, 2020, Pfenex Inc. (the “Company”) entered into a Deed of Assignment and Amendment (the “Deed”) with China NT Pharma Group Company Limited (“NT Pharma”), NT Pharma International Company Limited (“NT International”), and Beijing Kangchen Biological Technology Co., Ltd. (“Kangchen”), a wholly-owned subsidiary of Beijing Konruns Pharmaceutical Co., Ltd (“Konruns”). | d880749d8k.htm |
| 2020-04-14 | 8-K | 2020-04-14 | 8.01 Other Events | 8.01 On April 14, 2020, Pfenex Inc. (the “Company”) announced that the U.S. Food and Drug Administration (FDA), informed Alvogen Malta Operations Ltd., the Company’s collaboration partner for PF708, that additional comparative use human factors data from Forteo® (teriparatide injection) experienced users would be necessary for FDA to make a determination regarding the therapeutic equivalence of the Pfenex/Alvogen FDA-approved PF708 teriparatide product to Forteo®. | pfnx-8k_20200414.htm |
| 2020-03-11 | 8-K | 2020-03-11 | 2.02 Results of Operations and Financial Condition | pfnx-8k_20200311.htm | |
| 2020-02-04 | 8-K | 2020-02-03 | 8.01 Other Events | 8.01 On March 15, 2018, Pfenex Inc. (the “Company”) entered into an equity sales agreement (the “Sales Agreement”) with William Blair & Company, L.L.C. (“William Blair”) to sell up to $20 million of the Company’s common stock, from time to time, through an “at the market” equity offering program under which William Blair acted as sales agent. | d855547d8k.htm |
| 2020-01-16 | 8-K | 2020-01-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (1) Base salary increases are effective as of February 2, 2020. | d873758d8k.htm |
| 2019-12-18 | 8-K | 2019-12-18 | 8.01 Other Events | 8.01 On December 18, 2019, Pfenex Inc. issued a press release announcing that it has earned a $15 million development milestone under its development and license agreement with Jazz Pharmaceuticals plc. | d841190d8k.htm |
| 2019-11-13 | 8-K | 2019-11-12 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 – Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. | d826459d8k.htm |
| 2019-11-07 | 8-K | 2019-11-07 | 2.02 Results of Operations and Financial Condition | pfnx-8k_20191107.htm | |
| 2019-10-15 | 8-K | 2019-10-14 | 8.01 Other Events | 8.01 On October 14, 2019, Pfenex Inc. issued a press release announcing results from its PF708 human factors study. | d820197d8k.htm |
| 2019-10-07 | 8-K | 2019-10-07 | 8.01 Other Events | 8.01 On October 7, 2019, Pfenex Inc. issued a press release reporting that the U.S. Food and Drug Administration has approved the New Drug Application for PF708 for the treatment of osteoporosis. | d817234d8k.htm |
| 2019-08-08 | 8-K | 2019-08-05 | 2.02 Results of Operations and Financial Condition; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 2.02 On August 8, 2019, Pfenex Inc. (the “Company”) issued a press release reporting its financial results for the quarter ended June 30, 2019. 5.02 On August 5, 2019, Sigurdur Olafsson resigned from the Board of Directors (the “Board”) of the Company effective immediately. | d786280d8k.htm |
| 2019-05-09 | 8-K | 2019-05-09 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 As noted below, on May 9, 2019, our stockholders approved the amendment and restatement of our 2014 Equity Incentive Plan (1) to increase the number of shares of common stock reserved thereunder by 2,000,000 shares; and (2) to make such other changes as described in the proxy statement. 5.07 We held our 2019 annual meeting of stockholders on May 9, 2019 (the “Annual Meeting”). | d724751d8k.htm |
| 2019-05-09 | 8-K | 2019-05-09 | 2.02 Results of Operations and Financial Condition | 2.02 On May 9, 2019, Pfenex Inc. issued a press release reporting its financial results for the quarter ended March 31, 2019. | d743213d8k.htm |
| 2019-04-01 | 8-K | 2019-03-29 | 8.01 Other Events | 8.01 On March 29, 2019, Pfenex Inc. (the “Company”) received notice from the Department of Health and Human Services (“HHS”), Biomedical Advanced Research and Development Authority (“BARDA”), advising the Company of its decision not to exercise development options for cGMP manufacturing and potential Phase 1/2b study readiness for the Company’s novel anthrax vaccine candidates Px563L and RPA563 (collectively, the “anthrax programs”). | d581740d8k.htm |
| 2019-03-11 | 8-K | 2019-03-11 | 2.02 Results of Operations and Financial Condition | 2.02 On March 11, 2019, Pfenex Inc. issued a press release reporting its financial results for the quarter and year ended December 31, 2018. | d711985d8k.htm |
| 2019-03-04 | 8-K | 2019-02-28 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 28, 2019, the board of directors (“Board”) increased the size of the Board from six to seven directors and elected Magda Marquet, Ph.D., to our Board. | d699405d8k.htm |
| 2019-02-28 | 8-K | 2019-02-25 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On February 25, 2019, Pfenex Inc. (the “Company”) and Alvogen Ltd., through certain of its subsidiaries, (together, “Alvogen”) entered into agreements (the “Agreements”) expanding the Company’s and Alvogen’s collaboration to develop and commercialize PF708 (teriparatide) (the “Product”), a therapeutic equivalent candidate to Eli Lilly & Company’s Forteo®, to the European Union (EU), to Afghanistan, Algeria, Armenia, Azerbaijan, Bahrain, Chad, Comoros, Cyprus, Djibouti, Egypt, Eritrea, Georgia, Iraq, Israel, Jordan, Kuwait, Lebanon, Libya, Mali, Mauritania, Morocco, Niger, Oman, Pakistan, Palestine, Qatar, Sahrawi Arab Democratic Republic, Saudi Arabia, Somalia, Sudan, Syria, Tunisia, Turkey, United Arab Emirates and Yemen (collectively, “MENA”) and to all other countries outside of the United States, EU and MENA (other than Mainland China, Hong Kong, Singapore, Malaysia and Thailand) (ROW). 7.01 On February 28, 2019, the Company issued a press release announcing it entered into the Agreements. 8.01 The description of the agreements in Item 1.01 above is incorporated herein by reference. | d710839d8k.htm |
| 2019-02-19 | 8-K | 2019-02-19 | 8.01 Other Events | 8.01 On February 19, 2019, Pfenex Inc. issued a press release announcing that the United States Food and Drug Administration has accepted for review the New Drug Application for PF708 for the treatment of osteoporosis. | d711549d8k.htm |
| 2019-01-22 | 8-K | 2019-01-17 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (1) Base salary increases are effective as of February 17, 2019. | d693403d8k.htm |
| 2018-12-10 | 8-K | 2018-12-10 | 8.01 Other Events | 8.01 On December 10, 2018, the Company issued a press release announcing that it has submitted a New Drug Application to the United States Food and Drug Administration for PF708 for the treatment of osteoporosis. | d671714d8k.htm |
| 2018-11-07 | 8-K | 2018-11-07 | 8.01 Other Events | 8.01 On August 9, 2018, Pfenex Inc. (the “Company”) filed with the Securities and Exchange Commission (the “SEC”) a shelf registration statement on Form S-3, as amended (File No. 333-226727), which was declared effective by the SEC on October 3, 2018, and which replaced the Company’s previous shelf registration statement on Form S-3 (File No. 333-206625) filed with the SEC on August 27, 2015 (the “Prior Registration Statement”). | d651785d8k.htm |
| 2018-11-07 | 8-K | 2018-11-07 | 2.02 Results of Operations and Financial Condition | 2.02 On November 7, 2018, Pfenex Inc. issued a press release reporting its financial results for the quarter ended September 30, 2018. | d649136d8k.htm |
| 2018-09-11 | 8-K | 2018-09-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 On September 11, 2018, we announced the appointment of Dr. Shawn A. Scranton, as our Sr. Vice President, Chief Operating Officer, effective as of his first day of employment with us, which is expected to be October 1, 2018. 7.01 On September 11, 2018, we issued a press release announcing Dr. Scranton’s appointment as our Sr. Vice President, Chief Operating Officer. | d620933d8k.htm |
| 2018-08-16 | 8-K | 2018-08-16 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 16, 2018, Dr. Hubert Chen notified Pfenex Inc. (the “Company”) of his intention to resign as the Company’s Chief Medical and Scientific Officer, effective September 2, 2018. | d609989d8k.htm |
| 2018-08-08 | 8-K | 2018-08-08 | 2.02 Results of Operations and Financial Condition | 2.02 On August 8, 2018, Pfenex Inc. issued a press release reporting its financial results for the quarter ended June 30, 2018. | d576679d8k.htm |
| 2018-06-11 | 8-K | 2018-06-11 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On June 11, 2018, Pfenex Inc. (the “Company”) and Alvogen Malta Operations Ltd. (“Alvogen”) entered into a Development and License Agreement (the “Agreement”) pursuant to which Alvogen will have the exclusive right to commercialize and manufacture PF708 (teriparatide) (the “Product”), a therapeutic equivalent candidate to Eli Lilly & Company’s Forteo®, in the United States. 7.01 On June 11, 2018, the Company issued a press release announcing it entered into the Agreement. 8.01 The description of the Agreement in Item 1.01 above is incorporated herein by reference. | d596932d8k.htm |
| 2018-05-23 | 8-K | 2018-05-23 | 8.01 Other Events | 8.01 On May 23, 2018, Pfenex Inc. (the “Company”), entered into an underwriting agreement (the “Underwriting Agreement”) with Barclays Capital Inc. and William Blair & Company, L.L.C. (the “Underwriters”), relating to an underwritten public offering of 6,800,000 shares of common stock of the Company (the “Underwritten Shares”) at a price of $5.50 per share. | d591548d8k.htm |
| 2018-05-14 | 8-K | 2018-05-14 | 8.01 Other Events | 8.01 On May 14, 2018, Pfenex Inc. issued a press release announcing top-line results from Study PF708-301, which compared PF708 and Forteo® after 24 weeks of daily injection in osteoporosis patients. | d556276d8k.htm |
| 2018-05-10 | 8-K | 2018-05-09 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 We held our 2018 annual meeting of stockholders on May 9, 2018 (the “Annual Meeting”). | d548087d8k.htm |
| 2018-05-10 | 8-K | 2018-05-10 | 2.02 Results of Operations and Financial Condition | 2.02 On May 10, 2018, Pfenex Inc. issued a press release reporting its financial results for the quarter ended March 31, 2018. | d559996d8k.htm |
| 2018-04-18 | 8-K | 2018-04-18 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On April 18, 2018, Pfenex Inc. (the “Company” or “Pfenex”) and China NT Pharma Group Company Limited (“NT Pharma”) entered into a Development and License Agreement (the “Agreement”), pursuant to which Pfenex granted an exclusive license to NT Pharma to commercialize PF708, a teriparatide therapeutic equivalent to Eli Lilly & Company’s Forteo® (the “Product”), in Mainland China, Hong Kong, Singapore, Malaysia and Thailand (each a “Region,” and collectively, the “Territory”) and a non-exclusive license to conduct development activities in the Territory with respect to the Product. 7.01 On April 18, 2018, the Company issued a press release announcing it entered into the Agreement. 8.01 The description of the Agreement in Item 1.01 above is incorporated herein by reference. | d572006d8k.htm |
| 2018-03-15 | 8-K | 2018-03-15 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d547897d8k.htm |
| 2018-03-15 | 8-K | 2018-03-15 | 2.02 Results of Operations and Financial Condition; 7.01 Regulation FD Disclosure | 2.02 On March 15, 2018, Pfenex Inc. (the “Company”) issued a press release reporting its financial results for the fourth quarter and full year ended December 31, 2017. 7.01 A copy of a slide presentation that the Company intends to present to investors is attached to this Current Report on Form 8-K as Exhibit 99.2 and is incorporated herein solely for purposes of this Item 7.01 disclosure. | d507783d8k.htm |
| 2018-03-14 | 8-K | 2018-03-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 14, 2018, Dennis M. Fenton, Ph.D., a member of the Board of Directors (the “Board”) of Pfenex Inc. (the “Company”) notified the Company that he will not stand for reelection at the Company’s next annual meeting of stockholders (the “Annual Meeting”). | d489086d8k.htm |
| 2018-02-27 | 8-K | 2018-02-27 | 7.01 Regulation FD Disclosure | 7.01 A copy of a slide presentation that Pfenex Inc. (the “Company”) intends to present to investors is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein solely for purposes of this Item 7.01 disclosure. | d541236d8k.htm |
| 2018-01-24 | 8-K | 2018-01-18 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (1) Base salary increases are effective as of February 18, 2018. | d526985d8k.htm |
| 2018-01-04 | 8-K | 2018-01-04 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On January 4, 2018, we announced the appointment of Susan A. Knudson as our Chief Financial Officer effective February 1, 2018. | d516977d8k.htm |
| 2017-12-19 | 8-K | 2017-12-18 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On December 18, 2017, Pfenex Inc. (the “Company”) and Jazz Pharmaceuticals Ireland Limited (“Jazz”) entered into an amended and restated version (the “Amendment”) of their existing License and Option Agreement (the “Collaboration Agreement”), pursuant to which the parties are collaboratively developing certain hematology products (the “Products”). 7.01 On December 19, 2017, the Company issued a press release announcing it entered into the Amendment. 8.01 The description of the Amendment in Item 1.01 above is incorporated herein by reference. | d449273d8k.htm |
| 2017-11-09 | 8-K | 2017-11-09 | 2.02 Results of Operations and Financial Condition | 2.02 On November 9, 2017, Pfenex Inc. issued a press release reporting its financial results for the quarter ended September 30, 2017. | d490579d8k.htm |
| 2017-09-07 | 8-K | 2017-09-07 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 – Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. | d446822d8k.htm |
| 2017-08-09 | 8-K | 2017-08-09 | 2.02 Results of Operations and Financial Condition | 2.02 On August 9, 2017, Pfenex Inc. issued a press release reporting its financial results for the quarter ended June 30, 2017. | d440257d8k.htm |
| 2017-08-03 | 8-K | 2017-08-03 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 3, 2017, we announced the appointment of Evert B. Schimmelpennink as our President, Chief Executive Officer, and Secretary effective August 3, 2017. | d240711d8k.htm |
| 2017-05-08 | 8-K | 2017-05-08 | 2.02 Results of Operations and Financial Condition | 2.02 On May 8, 2017, Pfenex Inc. issued a press release reporting its financial results for the first quarter ended March 31, 2017. | d389065d8k.htm |
| 2017-05-08 | 8-K | 2017-05-05 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 As noted below, on May 5, 2017, our stockholders approved the amendment and restatement of our 2014 Equity Incentive Plan (1) to amend and restate the material terms of the plan to allow us the ability to deduct in full under Section 162(m) of the Internal Revenue Code of 1986, as amended, compensation recognized by our executive officers in connection with certain awards that may be granted under the plan in the future; (2) to increase the number of shares of common stock reserved thereunder by 2,500,000 shares; and (3) to make such other changes as described in the proxy statement. 5.07 We held our 2017 annual meeting of stockholders on May 5, 2017 (the “Annual Meeting”). | d389920d8k.htm |
| 2017-03-31 | 8-K | 2017-03-30 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 – Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. | d372043d8k.htm |
| 2017-03-15 | 8-K | 2017-03-15 | 2.02 Results of Operations and Financial Condition | 2.02 On March 15, 2017, Pfenex Inc. issued a press release reporting its financial results for the fourth quarter and full year ended December 31, 2016. | d343935d8k.htm |
| 2017-02-13 | 8-K | 2017-02-08 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (1) Base salary increases are effective as of February 1, 2017. | d343915d8k.htm |
| 2017-01-24 | 8-K | 2017-01-23 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure; 8.01 Other Events | 5.02 On January 23, 2017, Dr. Bertrand C. Liang submitted a letter to the Board of Directors (the “Board”) of Pfenex Inc. (the “Company”) resigning from all officer positions and as a member of the Board, effective immediately on such date. 7.01 The Company issued a press release in connection with the leadership transition described above, a copy of which is furnished as Exhibit 99.1 to this Current Report. 8.01 The resignation of Dr. Liang referred to in Item 5.02 above followed the completion of an independent investigation overseen by the audit committee of the Board (the “Audit Committee”) and with the assistance of outside legal counsel. | d190561d8k.htm |
| 2016-11-09 | 8-K | 2016-11-09 | 2.02 Results of Operations and Financial Condition | 2.02 On November 9, 2016, Pfenex Inc. issued a press release reporting its financial results for the third quarter ended September 30, 2016. | d287269d8k.htm |
| 2016-08-08 | 8-K | 2016-08-08 | 2.02 Results of Operations and Financial Condition | 2.02 On August 8, 2016, Pfenex Inc. issued a press release reporting its financial results for the second quarter ended June 30, 2016. | d181293d8k.htm |
| 2016-08-08 | 8-K | 2016-08-05 | 1.02 Termination of a Material Definitive Agreement | 1.02 On February 9, 2015, Pfenex Inc. (the “Company”) and Hospira, Inc. (together with its affiliates, “Pfizer”), entered into a Development and License Agreement (the “Collaboration Agreement”) pursuant to which the Company and Pfizer agreed to collaboratively develop the Company’s biosimilar candidate to Lucentis, PF582 (the “Product”) for retinal conditions. | d224302d8k.htm |
| 2016-07-28 | 8-K | 2016-07-27 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On July 27, 2016, Pfenex Inc. (the “Company”) and Jazz Pharmaceuticals Ireland Limited (“Jazz”) entered into a License and Option Agreement (the “Collaboration Agreement”) pursuant to which the Company and Jazz will collaboratively develop certain hematology products (the “Initial Products”), and Jazz will have the exclusive right to manufacture and commercialize such products throughout the world. 7.01 On July 28, 2016, the Company issued a press release announcing it entered into the Collaboration Agreement. 8.01 The description of the Collaboration Agreement in Item 1.01 above is incorporated herein by reference. | d200146d8k.htm |
| 2016-07-06 | 8-K | 2016-06-30 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On June 30, 2016, Pfenex Inc. (the “Company”) notified Haskell & White LLP (“H&W”) of its dismissal as the Company’s independent registered public accounting firm effective as of that date. | d192621d8k.htm |
| 2016-05-09 | 8-K | 2016-05-09 | 2.02 Results of Operations and Financial Condition | 2.02 On May 9, 2016, Pfenex Inc. issued a press release reporting its financial results for the first quarter ended March 31, 2016. | d193641d8k.htm |
| 2016-05-06 | 8-K | 2016-05-06 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 We held our 2016 annual meeting of stockholders on May 6, 2016 (the “Annual Meeting”). | d191420d8k.htm |
| 2016-03-10 | 8-K | 2016-03-10 | 2.02 Results of Operations and Financial Condition | 2.02 On March 10, 2016, Pfenex Inc. issued a press release reporting its financial results for the fourth quarter and full year ended December 31, 2015. | d144489d8k.htm |
| 2016-02-11 | 8-K | 2016-02-11 | 1.02 Termination of a Material Definitive Agreement | 1.02 Pfenex Inc. (the “Company”) and Wells Fargo Bank, National Association (“Wells Fargo”) had entered into that certain Amended and Restated Credit Agreement and the Amended and Restated Revolving Line of Credit Note by and between the Company and Wells Fargo dated July 1, 2015 (together, the “Amended Credit Facility”). | d283523d8k.htm |
| 2016-01-29 | 8-K | 2016-01-27 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On January 27, 2016, the Compensation Committee of our Board of Directors approved (i) the annual base salaries for fiscal 2016 for our named executive officers and (ii) the payment of various cash bonuses for the fiscal year ended December 31, 2015 for our named executive officers pursuant to our 2015 Incentive Compensation Plan (“2015 Bonus Plan”). | d121266d8k.htm |
| 2015-12-16 | 8-K | 2015-12-15 | 8.01 Other Events | 8.01 On December 15, 2015, Pfenex Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with The Dow Chemical Company (the “Selling Stockholder”), and Morgan Stanley & Co. LLC (the “Underwriter”), pursuant to which the Selling Stockholder agreed to sell 600,000 shares of our common stock, par value $0.001 per share (the “Common Stock”) to the Underwriter (the “Offering”). | d91796d8k.htm |
| 2015-11-23 | 8-K | 2015-11-19 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The information set forth above and referenced under Item 1.01 is hereby incorporated by reference into this Item 2.03. | d45144d8k.htm |
| 2015-11-13 | 8-K | 2015-11-13 | 2.02 Results of Operations and Financial Condition | 2.02 On November 13, 2015, Pfenex Inc. issued a press release reporting its financial results for the third quarter ended September 30, 2015. | d50025d8k.htm |
| 2015-09-15 | 8-K | 2015-09-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On September 14, 2015, the board of directors (“Board”) increased the size of the Board from five to six directors and appointed Dennis M. Fenton, Ph.D. to our Board, effective immediately. | d75085d8k.htm |
| 2015-08-17 | 8-K | 2015-08-14 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On August 14, 2015, Pfenex Inc. (the “Company”) entered into a contract with the U.S. Department of Health and Human Services (“DHHS”) through the Biomedical Advanced Research and Development Authority (“BARDA”) for the advanced development of Px563L as a novel vaccine candidate for the prevention of anthrax infection (the “BARDA Advanced Development Agreement”). 7.01 On August 17, 2015, the Company issued a press release announcing it entered into the BARDA Advanced Development Agreement for the advanced development of Px563L as a novel vaccine candidate for the prevention of anthrax infection. 8.01 The description of the BARDA Advanced Development Agreement in Item 1.01 above is incorporated herein by reference. | d72239d8k.htm |
| 2015-08-13 | 8-K | 2015-08-13 | 2.02 Results of Operations and Financial Condition | 2.02 On August 13, 2015, Pfenex Inc. issued a press release reporting its financial results for the second quarter ended June 30, 2015. | d62412d8k.htm |
| 2015-07-06 | 8-K | 2015-07-01 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 On July 1, 2015, Pfenex Inc. (the “Company”) and Wells Fargo Bank, National Association (“Wells Fargo”) entered into an Amended and Restated Credit Agreement (the “Amended Credit Agreement”) and an Amended and Restated Revolving Line of Credit Note (the “Amended Note,” and together with the Amended Credit Agreement, the “Amended Credit Facility”). 2.03 The information set forth in Item 1.01 above is incorporated herein by reference. | d19249d8k.htm |
| 2015-05-14 | 8-K | 2015-05-14 | 2.02 Results of Operations and Financial Condition | 2.02 The information in this Current Report on Form 8-K is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section. | v410369_8k.htm |
| 2015-04-24 | 8-K | 2015-04-21 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 We held our 2015 annual meeting of stockholders on April 21, 2015 (the “Annual Meeting”). | d915043d8k.htm |
| 2015-03-23 | 8-K | 2015-03-19 | 8.01 Other Events | 8.01 On February 9, 2015, Pfenex Inc. (the “Company”) and Hospira, Inc. (“Hospira”) entered into a Development and License Agreement (the “Collaboration Agreement”) pursuant to which the Company and Hospira will collaboratively develop the Company’s biosimilar candidate to Lucentis, PF582. | d892734d8k.htm |
| 2015-03-16 | 8-K | 2015-03-16 | 2.02 Results of Operations and Financial Condition | 2.02 The information in this Current Report on Form 8-K is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section. | d891366d8k.htm |
| 2015-03-10 | 8-K | 2015-03-09 | 8.01 Other Events | 8.01 On March 9, 2015, Pfenex Inc. (the “Company”) changed the record date for the determination of stockholders entitled to receive notice and to vote at the 2015 Annual Meeting from March 9, 2015 (as previously announced) to March 19, 2015. | d889212d8k.htm |
| 2015-02-10 | 8-K | 2015-02-09 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 On February 9, 2015, Pfenex Inc. (the “Company”) and Hospira, Inc. (“Hospira”) entered into a Development and License Agreement (the “Collaboration Agreement”) pursuant to which the Company and Hospira will collaboratively develop the Company’s biosimilar candidate to Lucentis, PF582 (the “Product”) for retinal conditions and Hospira will have the exclusive right to manufacture and commercialize the Product throughout the world. 7.01 On February 10, 2015, the Company issued a press release announcing it entered into the Collaboration Agreement pursuant to which the Company and Hospira will collaboratively develop the Company’s biosimilar candidate to Lucentis, PF582. 8.01 The description of the Collaboration Agreement in Item 1.01 above is incorporated herein by reference. | d867874d8k.htm |
| 2014-12-19 | 8-K | 2014-12-18 | 1.01 Entry into a Material Definitive Agreement | 1.01 On December 18, 2014, Pfenex Inc. (the “Company”) entered into an amendment (the “Amendment”) to its contract with the U.S. Department of Health and Human Services (“DHHS”) through the Biomedical Advanced Research and Development Authority (“BARDA”) for the continued development of Px563L as a novel vaccine candidate for anthrax (the “BARDA Agreement”). | d841084d8k.htm |
| 2014-11-18 | 8-K/A | 2014-11-12 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 Effective September 24, 2014, Robin D. Campbell, Ph.D. was appointed to the Board of Directors of Pfenex Inc. (the “Company”). | d822801d8ka.htm |
| 2014-11-13 | 8-K | 2014-11-13 | 2.02 Results of Operations and Financial Condition | 2.02 On November 13, 2014, Pfenex Inc. (the “Company”) issued a press release announcing its financial results for the third quarter of 2014. | v394202_8k.htm |
| 2014-09-25 | 8-K | 2014-09-04 | 1.01 Entry into a Material Definitive Agreement | 1.01 On September 4, 2014, Pfenex Inc. (the “Company”) and BRS-Tustin Safeguard Associates II, LLC entered into the first amendment (the “Amendment”) to the lease agreement dated as of June 22, 2010 (the “Lease”), relating to the lease of office and laboratory space at the Company’s headquarters located at 10790 Roselle Street, San Diego, California. | d794589d8k.htm |
| 2014-09-25 | 8-K | 2014-09-24 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On September 24, 2014, the board of directors (“Board”) increased the size of the Board from five to six directors and elected Robin D. Campbell, Ph.D. to our Board. | v390006_8k.htm |
| 2014-08-29 | 8-K | 2014-08-29 | 2.02 Results of Operations and Financial Condition | 2.02 On August 29, 2014, Pfenex Inc. (the “Company”) issued a press release announcing its financial results for the second quarter of 2014. | d779131d8k.htm |
| 2014-07-29 | 8-K | 2014-07-23 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 5.02 As described in Pfenex Inc.’s (the “Company”) Registration Statement on Form S-1 (File No. 333-196539) (the “Registration Statement”), William R. Rohn and Phillip M. Schneider were appointed to the Company’s board of directors on July 24, 2014 in connection with the Company’s initial public offering (the “IPO”). 5.03 On July 25, 2014, the Company filed a certificate of amendment to its amended and restated certificate of incorporation (the “Certificate of Amendment”) with the Secretary of State of the State of Delaware. 8.01 On July 23, 2014, the Company issued a press release announcing the pricing of the IPO. | d764967d8k.htm |