SEC Form 4 · accession 0001140361-17-001259
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
Jan 5, 2017
Accepted (ET)
Jan 9, 2017 · 5:53 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 | Jan 5, 2017 | M | 6,666 | $2.45 | A | 198,139 | 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)F1 | $2.45 | Jan 5, 2017 | M | 6,666 | D | — | Jan 25, 2017 | Common Stock | 6,666 | 0 | D |
Explanation of responses
- F1The option is fully vested and exercisable.