SEC Form 4 · accession 0001140361-18-028288
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis P Wolf
Director
Period of report
Jun 11, 2018
Accepted (ET)
Jun 12, 2018 · 9:00 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 StockF1 | Jun 11, 2018 | A | 5,923 | $0.00 | A | 122,177 | D | |
| Common StockF3 | Jun 12, 2018 | S | 8,947 | $14.4145 | D | 113,230 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock. The shares vest on the earlier of June 11, 2019 or the date of the Issuer's 2019 annual meeting of stockholders.
- F2Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 6, 2017.
- F3This transaction was executed in multiple trades in prices ranging from $14.30 to $14.60, 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.