SEC Form 4 · accession 0001140361-16-083020
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D. Aldridge
Officer — See Remarks
Period of report
Oct 16, 2016
Accepted (ET)
Oct 18, 2016 · 7:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001200375
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $4.37 | Oct 16, 2016 | A | 250,000 | A | — | Oct 15, 2026 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date.
Remarks
Senior Vice President, Corporate & Strategic Development