SEC Form 4 · accession 0001140361-15-040924
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Lalonde
Officer — SVP, R&D
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 6:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001200375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2015 | M | 10,275 | $1.05 | A | 161,061 | D | |
| Common StockF2 | Nov 10, 2015 | S | 3,636 | $3.521 | D | 157,425 | D | |
| Common Stock | Nov 11, 2015 | M | 16,391 | $1.05 | A | 173,816 | D | |
| Common StockF3 | Nov 11, 2015 | S | 5,805 | $3.5196 | D | 168,011 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4,F5 | $1.05 | Nov 10, 2015 | M | 10,275 | D | — | Dec 12, 2015 | Common Stock | 10,275 | 16,391 | D |
| Stock Option (Right to Buy)F4,F5 | $1.05 | Nov 11, 2015 | M | 16,391 | D | — | Dec 12, 2015 | Common Stock | 16,391 | 0 | D |
Explanation of responses
- F1The shares were sold solely to cover the exercise cost of the option pursuant to which the shares were acquired.
- F2This transaction was executed in multiple trades in prices ranging from $3.51 to $3.54, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F3This transaction was executed in multiple trades in prices ranging from $3.51 to $3.52, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F4The option is fully vested and exercisable.
- F5The option was exercised by the Reporting Person ahead of its expiration on December 12, 2015.