SEC Form 4 · accession 0001140361-18-015385

CODEXIS, INC. · CDXS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 26, 2018

Accepted (ET)

Mar 28, 2018 · 12:27 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
Common Stock	Mar 26, 2018	M	16,666	$7.46	A	157,920	D
Common Stock^F2	Mar 26, 2018	S	29,166	$11.146	D	128,754	D
Common Stock^F3	Mar 27, 2018	S	12,500	$11.144	D	116,254	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F4	$7.46	Mar 26, 2018	M	16,666	D	—	Jun 2, 2019	Common Stock	16,666	0	D

F1The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.55, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.85 to $11.45, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F4100% of the shares subject to the option are fully vested and exercisable.