SEC Form 4 · accession 0001140361-18-014862
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
Mar 22, 2018
Accepted (ET)
Mar 23, 2018 · 8:30 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 | Mar 22, 2018 | M | 6,311 | $3.46 | A | 1,078,990 | D | |
| Common StockF2 | Mar 22, 2018 | S | 6,311 | $11.9115 | D | 1,072,679 | D | |
| Common Stock | Mar 23, 2018 | M | 16,154 | $3.46 | A | 1,088,833 | D | |
| Common StockF3 | Mar 23, 2018 | S | 16,154 | $11.4309 | D | 1,072,679 | 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)F4 | $3.46 | Mar 22, 2018 | M | 6,311 | A | — | Jun 12, 2022 | Common Stock | 6,311 | 393,689 | D |
| Stock Option (Right to Buy)F4 | $3.46 | Mar 23, 2018 | M | 16,154 | A | — | Jun 12, 2022 | Common Stock | 16,154 | 377,535 | D |
Explanation of responses
- F1Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017.
- F2This transaction was executed in multiple trades in prices ranging from $11.90 to $12.00, inclusive. The price reported in Column 4 above reflects the weighted average sale 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.
- F3This transaction was executed in multiple trades in prices ranging from $11.35 to $11.60, inclusive. The price reported in Column 4 above reflects the weighted average sale 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.
- F4The option is fully vested and exercisable.