SEC Form 4/A · accession 0001140361-18-009976
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gordon Sangster
Officer — SVP & Chief Financial Officer
Period of report
Feb 20, 2018
Accepted (ET)
Feb 23, 2018 · 8:46 pm EST
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,F2 | $8.95 | Feb 20, 2018 | A | 60,000 | A | — | Feb 20, 2028 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option.
- F2Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022.