Stock Institutional Ownership and Shareholders

SecurityPFNX / Pfenex Inc. (717071104)
Institutional Owners56
Institutional Shares22,970,613
Outstanding Shares23,539,000 (as of 2017-09-30)
Institutional Value$ 451,847,000 USD

Pfenex Inc. (AMEX:PFNX) has 56 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 22,970,613 shares. Largest shareholders include Sanders Morris Harris Inc., Franklin Resources Inc, Primecap Management Co/ca/, Dow Chemical Co /de/, Dowdupont Inc., BlackRock Inc., Perceptive Advisors Llc, Renaissance Technologies LLC, Blair William & Co/il, and Vanguard Group Inc.



Pfenex Inc. (AMEX:PFNX) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-06 13F-HR Municipal Employees' Retirement System of Michigan 230,970 230,970 0.00 926 698 -24.62
2017-08-14 13F-HR TWO SIGMA INVESTMENTS LLC 29,177 0 -100.00 170 0 -100.00
2017-11-14 13F-HR BRIDGEWAY CAPITAL MANAGEMENT INC 14,000 108,500 675.00 56 328 485.71
2017-11-14 13F-HR BARCLAYS PLC 28,446 0 -100.00 114 0 -100.00
2017-11-13 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 47,655 0 -100.00 191 0 -100.00
2017-11-14 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 48,443 53,743 10.94 194 162 -16.49
2017-11-14 13F-HR Sio Capital Management, LLC 85,867 85,867 0.00 344 259 -24.71
2017-08-11 13F-HR KCG HOLDINGS, INC. 0 15,834 0 63
2017-10-31 13F-HR Nine Chapters Capital Management LLC 30,300 32,900 8.58 122 99 -18.85
2017-11-13 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 134,011 134,011 0.00 537,384 404,713 -24.69
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 55 6,506 11,729.09 0 19
2017-11-14 13F-HR Paloma Partners Management Co 66,418 0 -100.00 266 0 -100.00
2017-11-13 13F-HR ELEMENT CAPITAL MANAGEMENT LLC 91,861 0 -100.00 368 0 -100.00
2017-11-14 13F-HR I.G. INVESTMENT MANAGEMENT, LTD. 225,000 225,000 0.00 902 680 -24.61
2017-11-13 13F-HR NORTHERN TRUST CORP 42,193 40,064 -5.05 169 121 -28.40
2017-08-04 13F-HR MARSHALL WACE ASIA Ltd 293,183 0 -100.00 1,759 0 -100.00
2017-11-14 13F-HR AWM Investment Company, Inc. 563,255 0 -100.00 2,259 0 -100.00
2017-11-09 13F-HR DOW CHEMICAL CO /DE/ 1,771,428 1,771,428 0.00 7,103 5,350 -24.68
2017-11-09 13F-HR CITADEL ADVISORS LLC 16,338 0 -100.00 66 0 -100.00
2017-11-13 13F-HR/A-1 NORGES BANK 105,910 105,910 0.00 886 905 2.14
2017-07-12 13F-HR SIMPLEX TRADING, LLC 178 0 -100.00 1 0 -100.00
2017-11-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 814 0 -100.00 3 0 -100.00
2017-08-11 13F-HR Acrospire Investment Management LLC 9,495 0 -100.00 55 0 -100.00
2017-08-15 13F-HR Ameritas Investment Partners, Inc. 1,259 0 -100.00 7 0 -100.00
2017-08-11 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 16,401 0 -100.00 95 0 -100.00
2017-11-14 13F-HR ROYAL BANK OF CANADA 10,334 4 -99.96 41 0 -100.00
2017-11-09 13F-HR JP MORGAN CHASE & CO 15,333 22,793 48.65 61 67 9.84
2017-11-14 13F-HR Connor, Clark & Lunn Investment Management Ltd. 44,265 44,265 0.00 178 134 -24.72
2017-11-13 13F-HR DIMENSIONAL FUND ADVISORS LP 201,066 304,403 51.39 806 919 14.02
2017-11-13 13F-HR MUFG Americas Holdings Corp 632 632 0.00 3 2 -33.33
2017-08-14 13F-HR Walleye Trading LLC 700 0 -100.00 4 0 -100.00
2017-10-17 13F-HR Fisher Asset Management, LLC 85,644 85,644 0.00 343 259 -24.49
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA 5 5 0.00 20 15 -25.00
2017-11-14 13F-HR CREDIT SUISSE AG/ 34,721 0 -100.00 139 0 -100.00
2017-11-06 13F-HR Bank of New York Mellon Corp 57,034 56,913 -0.21 228 172 -24.56
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 103,735 98,112 -5.42 416 296 -28.85
2017-08-02 13F-HR Granite Investment Partners, LLC 59,344 0 -100.00 345 0 -100.00
2017-11-13 13F-HR FRANKLIN RESOURCES INC 2,673,691 2,751,765 2.92 10,721 8,311 -22.48
2017-08-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 600 0 -100.00 3 0 -100.00
2017-11-13 13F-HR Allianz Asset Management AG 138,633 0 -100.00 556 0 -100.00
2017-11-14 13F-HR BlackRock Inc. 1,232,096 1,049,686 -14.80 4,941 3,170 -35.84
2017-08-10 13F-HR Nationwide Fund Advisors 25,461 0 -100.00 148 0 -100.00
2017-11-09 13F-HR Legal & General Group Plc 110,249 0 -100.00 442 0 -100.00
2017-11-13 13F-HR FMR LLC / Fidelity Management & Research 325,744 172,119 -47.16 1,306 520 -60.18
2017-11-22 13F-HR Chicago Partners Investment Group LLC 5,000 2,500 -50.00 33 8 -75.76
2017-11-14 13F-HR A.R.T. Advisors, LLC 23,176 0 -100.00 92 0 -100.00
2017-09-11 SC 13G/A Dowdupont Inc. 1,771,428
2017-11-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 20,700 17,700 -14.49 83 53 -36.14
2017-11-14 13F-HR Squarepoint Ops LLC 31,232 79,800 155.51 125 241 92.80
2017-07-26 13F-HR STRS OHIO 99,800 0 -100.00 579 0 -100.00
2017-11-14 13F-HR D. E. Shaw & Co., Inc. 88,905 96,454 8.49 357 291 -18.49
2017-11-14 13F-HR Tower Research Capital LLC (TRC) 6,103 2,289 -62.49 24 7 -70.83
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Put 1,000 1,000 0.00 4 3 -25.00
2017-08-14 13F-HR PANAGORA ASSET MANAGEMENT INC 109,222 0 -100.00 635 0 -100.00
2017-11-14 13F-HR MORGAN STANLEY 75,998 66,534 -12.45 305 201 -34.10
2017-11-09 13F-HR LMR Partners LLP 62,870 0 -100.00 252 0 -100.00
2017-11-14 13F-HR DEUTSCHE BANK AG\ 154,477 309,668 100.46 619 935 51.05
2017-08-11 13F-HR GLOBEFLEX CAPITAL L P 9,453 0 -100.00 55 0 -100.00
2017-08-02 13F-HR RHUMBLINE ADVISERS 21,031 0 -100.00 122 0 -100.00
2017-11-13 13F-HR Marshall Wace North America L.P. 292,483 292,483 0.00 1,170 877 -25.04
2017-08-03 13F-HR DUPONT CAPITAL MANAGEMENT Corp 32,034 0 -100.00 186 0 -100.00
2017-10-20 13F-HR MEEDER ASSET MANAGEMENT INC 2,072 1,905 -8.06 8 6 -25.00
2017-11-08 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 21,400 65
2017-08-10 13F-HR TEACHERS ADVISORS INC 35,184 0 -100.00 204 0 -100.00
2017-11-20 13F-HR/A-1 ClariVest Asset Management LLC 14,911 15,513 4.04 60 47 -21.67
2017-11-14 13F-HR STATE STREET CORP 11,200 11,200 0.00 45 34 -24.44
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 326,519 222,774 -31.77 1,309 673 -48.59
2017-10-17 13F-HR Creative Planning 1,000 0 -100.00 4 0 -100.00
2017-11-16 13F-HR ALGERT GLOBAL LLC 34,603 0 -100.00 139 0 -100.00
2017-11-13 13F-HR Renaissance Technologies LLC 549,100 800,000 45.69 2,202 2,416 9.72
2017-11-14 13F-HR PERCEPTIVE ADVISORS LLC 845,973 2,555
2017-11-13 13F-HR OXFORD ASSET MANAGEMENT 186,276 161,773 -13.15 747 490 -34.40
2017-11-14 13F-HR Cormorant Asset Management, LLC 574,966 0 -100.00 2,306 0 -100.00
2017-08-01 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 23,397 0 -100.00 136 0 -100.00
2017-11-14 13F-HR UBS Group AG 17 5,577 32,705.88 0 17
2017-11-13 13F-HR Spark Investment Management LLC 61,800 30,500 -50.65 247 92 -62.75
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 119,223 107,392 -9.92 478 324 -32.22
2017-11-07 13F-HR Russell Investments Group, Ltd. 10,264 10,264 0.00 41 31 -24.39
2017-11-14 13F-HR AJO, LP 235,948 639,887 171.20 946 1,932 104.23
2017-08-11 13F-HR AMERICAN INTERNATIONAL GROUP INC 11,213 0 -100.00 65 0 -100.00
2017-11-14 13F-HR VANGUARD GROUP INC 493,508 640,138 29.71 1,979 1,933 -2.32
2017-11-01 13F-HR/A-1 Financial Architects, Inc 3,300 0 -100.00 13 0 -100.00
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 67,906 0 -100.00 272 0 -100.00
2017-11-14 13F-HR NUMERIC INVESTORS LLC 186,608 272,339 45.94 748 822 9.89
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 65,000 65,000 0.00 261 196 -24.90
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 160,204 58,873 -63.25 642 178 -72.27
2017-11-08 13F-HR MACQUARIE GROUP LTD 10,863 33
2017-11-13 13F-HR PRIMECAP MANAGEMENT CO/CA/ 2,368,100 2,356,400 -0.49 9,496 7,116 -25.06
2017-11-06 13F-HR CAM Group Holding A/S 245,500 271,400 10.55 984 820 -16.67
2017-12-08 SC 13D SANDERS MORRIS HARRIS INC. 5,659,664
2017-08-15 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 36,576 0 -100.00 213 0 -100.00
2017-07-25 13F-HR ACADIAN ASSET MANAGEMENT LLC 8,584 0 -100.00 50 0 -100.00
2017-11-09 13F-HR TFS CAPITAL LLC 60,894 0 -100.00 244 0 -100.00
2017-11-13 13F-HR BLAIR WILLIAM & CO/IL 250,817 725,848 189.39 1,006 2,192 117.89
CUSIP: 717071104