SEC Form 4 · accession 0001567619-18-001317
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
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 5:28 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 | Aug 14, 2018 | M | 11,859 | $3.46 | A | 1,084,538 | D | |
| Common StockF2 | Aug 14, 2018 | S | 11,859 | $15.1935 | D | 1,072,679 | D | |
| Common Stock | Aug 15, 2018 | M | 2,400 | $3.46 | A | 1,075,079 | D | |
| Common StockF3 | Aug 15, 2018 | S | 2,400 | $14.9002 | 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 | Aug 14, 2018 | M | 11,859 | D | — | Jun 12, 2022 | Common Stock | 11,859 | 356,669 | D |
| Stock Option (Right to Buy)F4 | $3.46 | Aug 15, 2018 | M | 2,400 | D | — | Jun 12, 2022 | Common Stock | 2,400 | 354,269 | 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 $15.15 to $15.35, 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 $14.85 to $14.95, 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.