SEC Form 4 · accession 0001140361-16-078017
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernard J Kelley
Director
Period of report
Aug 24, 2016
Accepted (ET)
Aug 26, 2016 · 8:02 pm EDT
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 | Aug 24, 2016 | M | 21,666 | $2.45 | A | 234,906 | D | |
| Common StockF1 | Aug 24, 2016 | S | 12,643 | $4.2559 | D | 222,263 | 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 | $2.45 | Aug 24, 2016 | M | 16,666 | D | — | Jan 26, 2017 | Common Sotck | 16,666 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.45 | Aug 24, 2016 | M | 5,000 | D | — | Jun 19, 2017 | Common Sotck | 5,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades in prices ranging from $4.25 to $4.30, 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.
- F2100% of the shares subject to the option are fully vested and exercisable.