Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DYADIC INTERNATIONAL INCDYAI · Entity 7611 | Director | January 02, 2026 | January 06, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DYADIC INTERNATIONAL INC
Report date January 02, 2026 · Filed January 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,311 |
Reported balance
After 2026-01-02 transaction · row 1
1 source rowRow 1 · 2026-01-02 · Exercise / conversion · Acquired 21,552 · Balance 72,311 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-01-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-02 · Exercise / conversion · Disposed 21,552 · Balance 0 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5: The restricted stock units previously issued and vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors, were settled 100% in Issuer's common stock. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 39,894 |
Reported balance
After 2026-01-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-01-02 · Grant · Acquired 39,894 · Balance 39,894 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3: Annual grant of restricted stock units. F4: The restricted stock units will be settled 100% in Issuer's common stock when vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.94 · Expires 2036-01-02 | Direct | 67,500 |
Reported balance
After 2026-01-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-02 · Grant · Acquired 67,500 · Balance 67,500 F2: Annual grant of stock options. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F2: Annual grant of stock options.
F3: Annual grant of restricted stock units.
F4: The restricted stock units will be settled 100% in Issuer's common stock when vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors.
F5: The restricted stock units previously issued and vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors, were settled 100% in Issuer's common stock.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Pfenex Inc.
Report date October 01, 2020 · Filed October 05, 2020
Section 16 reporting ended · disclosed 2020-10-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 1
1 source rowRow 1 · 2020-10-01 · Other · Disposed 90,246 · Balance 0 F1: (1) Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated August 10, 2020 (the "Merger Agreement"), by and among Ligand Pharmaceutical Incorporated, a Delaware corporation, Pelican Acquisition Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent, and the Issuer, each issued and outstanding share of Issuer common stock (other than (A) Cancelled Shares, (B) Accepted Company Shares, and (C) Dissenting Company Shares (each as defined in the Merger Agreement)) was automatically converted into the right to receive (i) $12.00 per share, net to the holder thereof, subject to reduction for any applicable withholding Taxes (as defined in the Merger Agreement) payable in respect thereof, in cash (the "Cash Portion"), and (ii) a non-transferrable contractual contingent value right per share (a "CVR"), pursuant to the Contingent Value Rights Agreement, F2: (continued from Footnote 1) dated as of September 30, 2020 (as it may be amended from time to time, the "CVR Agreement"), to receive a contingent payment of $2.00 in cash upon the achievement of a specified milestone as set forth in the CVR Agreement (the "CVR Portion"), effective immediately prior to the Effective Time (as defined in the Merger Agreement). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.90 · Expires 2025-02-02 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-10-01 · Other · Disposed 41,000 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F3: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 2, 2015. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.19 · Expires 2026-02-01 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-10-01 · Other · Disposed 41,970 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F5: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 1, 2016. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.47 · Expires 2027-03-01 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-01 · Other · Disposed 11,238 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F6: One twenty-fourth (1/24th) of the shares subject to the option shall vest every month after the date of grant such that all shares shall be fully vested on the two (2) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.47 · Expires 2027-03-01 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-01 · Other · Disposed 85,000 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F7: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean March 1, 2017. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.38 · Expires 2028-02-01 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-10-01 · Other · Disposed 60,486 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F8: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.90 · Expires 2029-02-01 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-10-01 · Other · Disposed 59,000 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F9: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.89 · Expires 2030-02-03 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-10-01 · Other · Disposed 47,500 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F10: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2020. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.59 · Expires 2024-06-17 | Direct | 0 |
Reported balance
After 2020-10-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-10-01 · Other · Disposed 26,671 · Balance 0 F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F11: Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is June 1, 2014. |
Filing footnotes · ownership attribution and instrument terms
F1: (1) Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated August 10, 2020 (the "Merger Agreement"), by and among Ligand Pharmaceutical Incorporated, a Delaware corporation, Pelican Acquisition Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent, and the Issuer, each issued and outstanding share of Issuer common stock (other than (A) Cancelled Shares, (B) Accepted Company Shares, and (C) Dissenting Company Shares (each as defined in the Merger Agreement)) was automatically converted into the right to receive (i) $12.00 per share, net to the holder thereof, subject to reduction for any applicable withholding Taxes (as defined in the Merger Agreement) payable in respect thereof, in cash (the "Cash Portion"), and (ii) a non-transferrable contractual contingent value right per share (a "CVR"), pursuant to the Contingent Value Rights Agreement,
F2: (continued from Footnote 1) dated as of September 30, 2020 (as it may be amended from time to time, the "CVR Agreement"), to receive a contingent payment of $2.00 in cash upon the achievement of a specified milestone as set forth in the CVR Agreement (the "CVR Portion"), effective immediately prior to the Effective Time (as defined in the Merger Agreement).
F3: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 2, 2015.
F4: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings.
F5: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 1, 2016.
F6: One twenty-fourth (1/24th) of the shares subject to the option shall vest every month after the date of grant such that all shares shall be fully vested on the two (2) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017.
F7: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean March 1, 2017.
F8: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018.
F9: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019.
F10: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2020.
F11: Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is June 1, 2014.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 02, 2026 Filed Jan 6, 2026 23:10 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantRestricted Stock Unit · Derivative | 39,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-000662 · ownership.xml · derivative · entry 4 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,894 Underlying: Common Stock · 39,894 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3 · kind: Annual grant of restricted stock units. F4 · derivative.exercise_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors. F4 · derivative.expiration_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 23:10 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 67,500 | $0.00 Strike: $0.94 | $0.00 |
DisclosureSEC source: 0001493152-26-000662 · ownership.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,500 Underlying: Common Stock · 67,500 shares Expires 2036-01-02 F2 · kind: Annual grant of stock options. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 23:10 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionRestricted Stock Unit · Derivative | 21,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-000662 · ownership.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,552 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: The restricted stock units previously issued and vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors, were settled 100% in Issuer's common stock. F5 · derivative.expiration_date: The restricted stock units previously issued and vested upon the first anniversary of the date of grant, subject to continued service as a member of the board of directors, were settled 100% in Issuer's common stock. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 23:10 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionCommon Stock | 21,552 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-26-000662 · ownership.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,311 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 11:06 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantRestricted Stock Unit · Derivative | 21,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-000550 · rdgdoc.xml · derivative · entry 4 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,552 Underlying: Common Stock · 21,552 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3 · kind: Receipt of restricted stock units as a result of reduction in directors' cash compensation. F4 · derivative.exercise_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as a member of the board of directors. F4 · derivative.expiration_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as a member of the board of directors. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 11:06 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 67,500 | $0.00 Strike: $1.74 | $0.00 |
DisclosureSEC source: 0001437749-25-000550 · rdgdoc.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,500 Underlying: Common Stock · 67,500 shares Expires 2035-01-02 F2 · shares: Annual grant of stock options. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 11:06 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionRestricted Stock Unit · Derivative | 23,585 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-000550 · rdgdoc.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,585 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: The restricted stock units previously issued and vested upon one year of service were settled 100% in Issuer's common stock. F5 · derivative.expiration_date: The restricted stock units previously issued and vested upon one year of service were settled 100% in Issuer's common stock. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 11:06 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionCommon Stock | 23,585 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-25-000550 · rdgdoc.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,759 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| April 11, 2024 Filed Apr 16, 2024 01:42 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 13,125 | $0.00 Strike: $1.84 | $0.00 |
DisclosureSEC source: 0001437749-24-012128 · rdgdoc.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,125 Underlying: Common Stock · 13,125 shares Expires 2034-04-11 F1 · shares: The stock option was granted to Mr. Lucy upon his appointment as Chairman of the Company's board of directors. F2 · derivative.exercise_date: This option vests upon the first anniversary from the date of grant Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 01:03 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionRestricted Stock Unit · Derivative | 27,174 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-000650 · rdgdoc.xml · derivative · entry 4 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,174 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: The restricted stock units previously issued and vested upon one year of service were settled 100% in Issuer's common stock. F5 · derivative.expiration_date: The restricted stock units previously issued and vested upon one year of service were settled 100% in Issuer's common stock. Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 01:03 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | Exercise / conversionCommon Stock | 27,174 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-24-000650 · rdgdoc.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,174 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| January 02, 2024 Filed Jan 5, 2024 01:03 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantRestricted Stock Unit · Derivative | 23,585 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-000650 · rdgdoc.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,585 Underlying: Common Stock · 23,585 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3 · kind: Receipt of restricted stock units as a result of reduction in directors' cash compensation. F4 · derivative.exercise_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as a member of the board of directors. F4 · derivative.expiration_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as a member of the board of directors. Read SEC document |
| January 02, 2024 Filed Jan 5, 2024 01:03 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001437749-24-000650 · rdgdoc.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2034-01-02 F2 · shares: Annual grant of stock options. Read SEC document |
| January 03, 2023 Filed Jan 6, 2023 00:27 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantRestricted Stock Unit · Derivative | 27,174 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-000575 · rdgdoc.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,174 Underlying: Common Stock · 27,174 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3 · kind: Receipt of restricted stock units as a result of reduction in director cash compensation. F4 · derivative.exercise_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as board of director. F4 · derivative.expiration_date: The restricted stock units will be settled 100% in Issuer's common stock when vested upon one year of service as board of director. Read SEC document |
| January 03, 2023 Filed Jan 6, 2023 00:27 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 35,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001437749-23-000575 · rdgdoc.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2033-01-02 F1 · shares: Annual grant of stock options. Read SEC document |
| June 10, 2022 Filed Jun 14, 2022 20:11 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 25,000 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001437749-22-014963 · rdgdoc.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-06-09 F1 · shares: Grant of stock options as a result of a reduction in director cash compensation. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 22:31 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $4.81 | $0.00 |
DisclosureSEC source: 0001437749-22-000455 · rdgdoc.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2032-01-02 F1 · shares: Annual grant of stock options. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 22:36 UTC | DYADIC INTERNATIONAL INC DYAI · Entity 7611 | GrantStock Option · Derivative | 35,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-21-000586 · rdgdoc.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2031-01-07 F1 · shares: New Director grant of stock options. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 26,671 | Not disclosed Strike: $11.59 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 9 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,671 shares Expires 2024-06-17 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F11 · derivative.exercise_date: Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is June 1, 2014. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 47,500 | Not disclosed Strike: $10.89 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 8 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 47,500 shares Expires 2030-02-03 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F10 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2020. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 59,000 | Not disclosed Strike: $3.90 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 7 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 59,000 shares Expires 2029-02-01 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F9 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 60,486 | Not disclosed Strike: $3.38 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 6 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,486 shares Expires 2028-02-01 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F8 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 85,000 | Not disclosed Strike: $7.47 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 5 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 85,000 shares Expires 2027-03-01 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F7 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean March 1, 2017. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 11,238 | Not disclosed Strike: $7.47 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 4 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,238 shares Expires 2027-03-01 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F6 · derivative.exercise_date: One twenty-fourth (1/24th) of the shares subject to the option shall vest every month after the date of grant such that all shares shall be fully vested on the two (2) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 41,970 | Not disclosed Strike: $9.19 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,970 shares Expires 2026-02-01 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F5 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 1, 2016. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherStock Option (right to buy) · Derivative | 41,000 | Not disclosed Strike: $6.90 | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,000 shares Expires 2025-02-02 F4 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, each option with an exercise price equal to or less than the Cash Portion that remains outstanding as of immediately prior to the Effective Time, whether vested or unvested, will be cancelled and converted into a right to receive, with respect to each share of Issuer Common stock subject to such option, an amount in cash, without interest, equal to the excess, if any, of (i) the Cash Portion over the per share exercise price of such option, plus (ii) the CVR Portion (the "Option Consideration"). All Option Consideration will be paid without interest and less any applicable tax withholdings. F3 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean February 2, 2015. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:38 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherCommon Stock | 90,246 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-027428 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: (1) Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated August 10, 2020 (the "Merger Agreement"), by and among Ligand Pharmaceutical Incorporated, a Delaware corporation, Pelican Acquisition Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent, and the Issuer, each issued and outstanding share of Issuer common stock (other than (A) Cancelled Shares, (B) Accepted Company Shares, and (C) Dissenting Company Shares (each as defined in the Merger Agreement)) was automatically converted into the right to receive (i) $12.00 per share, net to the holder thereof, subject to reduction for any applicable withholding Taxes (as defined in the Merger Agreement) payable in respect thereof, in cash (the "Cash Portion"), and (ii) a non-transferrable contractual contingent value right per share (a "CVR"), pursuant to the Contingent Value Rights Agreement, F2 · price: (continued from Footnote 1) dated as of September 30, 2020 (as it may be amended from time to time, the "CVR Agreement"), to receive a contingent payment of $2.00 in cash upon the achievement of a specified milestone as set forth in the CVR Agreement (the "CVR Portion"), effective immediately prior to the Effective Time (as defined in the Merger Agreement). Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 17:16 UTC | Pfenex Inc. PFNX · Entity 146052 | Exercise / conversionStock Option (right to buy) · Derivative | 770 | $0.00 Strike: $3.38 | $0.00 |
DisclosureSEC source: 0000899243-20-016892 · doc4.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,486 Underlying: Common Stock · 770 shares Expires 2028-02-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 17:16 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 770 | $10.23 | $7,873.33 |
DisclosureSEC source: 0000899243-20-016892 · doc4.xml · nonDerivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,246 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 20, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 770 shares sold in the price range of $10.03 to $10.35 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 17:16 UTC | Pfenex Inc. PFNX · Entity 146052 | Exercise / conversionCommon Stock | 770 | $3.38 | $2,602.60 |
DisclosureSEC source: 0000899243-20-016892 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,016 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 18:04 UTC | Pfenex Inc. PFNX · Entity 146052 | Exercise / conversionStock Option (right to buy) · Derivative | 17,151 | $0.00 Strike: $3.38 | $0.00 |
DisclosureSEC source: 0000899243-20-006774 · doc4.xml · derivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,256 Underlying: Common Stock · 17,151 shares Expires 2028-02-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 18:04 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 17,151 | $11.24 | $192,706.92 |
DisclosureSEC source: 0000899243-20-006774 · doc4.xml · nonDerivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,246 F2 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 20, 2019. F3 · price: Represents the weighted average share price of an aggregate total of 17,151 shares sold in the price range of $11.04 to $11.46 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 18:04 UTC | Pfenex Inc. PFNX · Entity 146052 | Exercise / conversionCommon Stock | 17,151 | $3.38 | $57,970.38 |
DisclosureSEC source: 0000899243-20-006774 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,397 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 624 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2020. Read SEC document |
| February 03, 2020 Filed Feb 3, 2020 20:16 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 47,500 | $0.00 Strike: $10.89 | $0.00 |
DisclosureSEC source: 0000899243-20-002638 · doc4.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,500 Underlying: Common Stock · 47,500 shares Expires 2030-02-03 F1 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2020. Read SEC document |
| November 27, 2019 Filed Nov 27, 2019 20:41 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 3,000 | $10.03 | $30,104.40 |
DisclosureSEC source: 0000899243-19-028272 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,622 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 23, 2018. F2 · price: Represents the weighted average share price of an aggregate total of 3,000 shares sold in the price range of $10.005 to $10.06 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 20:32 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 250 | $10.01 | $2,502.50 |
DisclosureSEC source: 0000899243-19-023699 · doc4.xml · nonDerivative · entry 3 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,622 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 23, 2018. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 20:32 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 1,800 | $10.00 | $18,000.00 |
DisclosureSEC source: 0000899243-19-023699 · doc4.xml · nonDerivative · entry 2 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,872 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 23, 2018. Read SEC document |
| September 13, 2019 Filed Sep 16, 2019 20:32 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 3,950 | $10.01 | $39,532.39 |
DisclosureSEC source: 0000899243-19-023699 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,672 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 23, 2018. F2 · price: Represents the weighted average share price of an aggregate total of 3,950 shares sold in the price range of $10.00 to $10.03 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 16:15 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 6,000 | $8.00 | $48,021.00 |
DisclosureSEC source: 0000899243-19-023250 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,622 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 23, 2018. F2 · price: Represents the weighted average share price of an aggregate total of 6,000 shares sold in the price range of $8.00 to $8.05 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: Includes 700 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2017, 604 shares acquired under the PFNX 2014 employee stock purchase plan on August 15, 2018, 605 shares acquired under the PFNX 2014 employee stock purchase plan on February 15, 2019, and 623 shares acquired under the PFNX 2014 employee stock purchase plan on August 15, 2019. Read SEC document |
| February 01, 2019 Filed Feb 4, 2019 17:45 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 59,000 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0000899243-19-002492 · doc4.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,000 Underlying: Common Stock · 59,000 shares Expires 2029-02-01 F1 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 20:06 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 78,407 | $0.00 Strike: $3.38 | $0.00 |
DisclosureSEC source: 0000899243-18-002750 · doc4.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,407 Underlying: Common Stock · 78,407 shares Expires 2028-02-01 F1 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 17:10 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $7.47 | $0.00 |
DisclosureSEC source: 0000899243-17-006104 · doc4.xml · derivative · entry 2 Lucy Patrick K. · CIK 0001612843 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,238 Underlying: Common Stock · 11,238 shares Expires 2027-03-01 F2 · derivative.exercise_date: 1/24th of the total shares subject to the Option shall vest every month after the date of grant such that all shares shall be fully vested on the two year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 17:10 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $7.47 | $0.00 |
DisclosureSEC source: 0000899243-17-006104 · doc4.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2027-03-01 F1 · derivative.exercise_date: 25% shall vest on the one year anniversary of the Vesting Commencement Date and 1/48th of the total shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. Read SEC document |
| March 01, 2017 Filed Mar 16, 2017 18:06 UTC Amendment | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 11,238 | $0.00 Strike: $7.47 | $0.00 |
DisclosureSEC source: 0000899243-17-007810 · doc4a.xml · derivative · entry 1 Lucy Patrick K. · CIK 0001612843 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,238 Underlying: Common Stock · 11,238 shares Expires 2027-03-01 F1 · shares: This amendment is being filed to correct the total number of derivative securities acquired in connection with the Option. F2 · derivative.exercise_date: 1/24th of the total shares subject to the Option shall vest every month after the date of grant such that all shares shall be fully vested on the two year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 1, 2017. Read SEC document |
| November 15, 2016 Filed Nov 15, 2016 20:02 UTC | Pfenex Inc. PFNX · Entity 146052 | SaleCommon Stock | 5,000 | $10.04 | $50,207.50 |
DisclosureSEC source: 0000899243-16-033618 · doc4.xml · nonDerivative · entry 1 Lucy Patrick K. · CIK 0001612843 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,090 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on August 12, 2016. F2 · price: Represents the weighted average share price of an aggregate total of 5,000 shares sold in the price range of $9.75 to $10.15 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: Includes 700 shares acquired under the PFNX employee stock purchase plan on February 16, 2016 and 700 shares acquired under the PFNX employee stock purchase plan on August 15, 2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.