SEC Form 4 · accession 0001140361-16-054593
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Nicols
Officer — President and CEO · Director
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 6:12 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 | Feb 19, 2016 | A | 259,840 | $0.00 | A | 1,089,524 | 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)F2 | $4.10 | Feb 19, 2016 | A | 211,000 | A | — | Feb 18, 2026 | Common Stock | 211,000 | 211,000 | D |
Explanation of responses
- F1Represent shares of common stock issuable pursuant to performance stock units for which achievement has been certified by the Issuer's compensation committee. Shares will be issued in two equal installments on each of March 5, 2016 and March 5, 2017, subject to continued employment through such date.
- F2Option vests with respect to 25% of the shares subject thereto on February 19, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 19, 2020.