Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Pfenex Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
717071 104
(CUSIP Number)
December 31, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE 13G
| CUSIP No. 717071 104 | Page 2 of 5 Pages |
| (1) | Names of reporting persons The Dow Chemical Company
I.R.S. Identification Nos. 38-1285128 | |||||
| (2) | Check the appropriate box if a member of a group (see instructions)
(a) ☐ (b) ☐ | |||||
| (3) | SEC use only
| |||||
| (4) | Citizenship or place of organization
Delaware | |||||
| Number of shares beneficially owned by each reporting person with: |
(5) | Sole voting power
1,771,428 | ||||
| (6) | Shared voting power
0 | |||||
| (7) | Sole dispositive power
1,771,428 | |||||
| (8) | Shared dispositive power
0 | |||||
| (9) |
Aggregate amount beneficially owned by each reporting person
1,771,428 | |||||
| (10) | Check if the aggregate amount in Row (9) excludes certain shares (see instructions)
| |||||
| (11) | Percent of class represented by amount in Row (9 (2)
7.55% (1) | |||||
| (12) | Type of reporting person (see instructions)
CO | |||||
| (1) | Percentage based on 23,455,552 shares of Common Stock outstanding as of May 1, 2017. |
SCHEDULE 13G
| CUSIP No. 717071 104 | Page 3 of 5 Pages |
Explanatory Note: Due to an oversight this Amendment No. 1 to Schedule 13G was not timely filed.
| ITEM 1(a) | NAME OF ISSUER: |
Pfenex Inc.
| ITEM 1(b) | ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES: |
The Company’s principal executive offices are located at 10790 Roselle Street, San Diego, CA 92121.
| ITEM 2(a) | NAME OF PERSON FILING: |
This statement is being filed by The Dow Chemical Company, a Delaware corporation (“Dow”).
| ITEM 2(b) | ADDRESS OF PRINCIPAL BUSINESS OFFICE: |
2030 Dow Center
Midland, MI 48674
| ITEM 2(c) | CITIZENSHIP: |
Delaware
| ITEM 2(d) | TITLE OF CLASS OF SECURITIES: |
Common Stock, par value $0.001 per share
| ITEM 2(e) | CUSIP NUMBER: |
717071 104
| ITEM 3 | STATEMENTS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B) OR (C): |
Not applicable.
| CUSIP No. 717071 104 | Page 4 of 5 Pages |
| ITEM 4 | OWNERSHIP: |
| (a) | Amount Beneficially Owned: 1,771,428 |
| (b) | Percent of Class: 7.55%* |
*Based on 23,455,552 shares of Common Stock outstanding as of May 1, 2017.
| (c) | Number of shares as to which such person has * |
| (i) | Sole power to vote to direct the vote: 1,771,428 |
| (ii) | Shared power to vote or to direct the vote: 0 |
| (iii) | Sole power to dispose or to direct the disposition of: 1,771,428 |
| (iv) | Shared power to dispose or to direct the disposition of: 0 |
| ITEM 5 | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: |
Not applicable.
| ITEM 6 | OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: |
Not applicable.
| ITEM 7 | IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT COMPANY: |
Not applicable.
| ITEM 8 | IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: |
Not applicable.
| ITEM 9 | NOTICE OF DISSOLUTION OF GROUP: |
Not applicable.
| ITEM 10 | CERTIFICATION: |
Not applicable.
| CUSIP No. 717071 104 | Page 5 of 5 Pages |
SIGNATURE
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated: June 9, 2017
| THE DOW CHEMICAL COMPANY | ||
| By: |
/s/ Ronald C. Edmonds | |
| Name: | Ronald C. Edmonds | |
| Title: | Controller and Vice President of Controllers and Tax | |