SEC Form 4 · accession 0001567619-18-001582
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis P Wolf
Director
Period of report
Aug 17, 2018
Accepted (ET)
Aug 21, 2018 · 6:10 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 17, 2018 | M | 16,666 | $10.92 | A | 120,896 | D | |
| Common Stock | Aug 17, 2018 | M | 1,667 | $10.51 | A | 122,563 | D | |
| Common StockF1 | Aug 17, 2018 | S | 18,333 | $14.7064 | D | 104,230 | D | |
| Common Stock | Aug 20, 2018 | M | 18,333 | $10.51 | A | 122,563 | D | |
| Common StockF2 | Aug 20, 2018 | S | 18,333 | $15.2405 | D | 104,230 | 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)F3 | $10.92 | Aug 17, 2018 | M | 16,666 | D | — | Feb 11, 2020 | Common Stock | 16,666 | 0 | D |
| Stock Option (Right to Buy)F3 | $10.51 | Aug 17, 2018 | M | 1,667 | D | — | Jun 7, 2021 | Common Stock | 1,667 | 18,333 | D |
| Stock Option (Right to Buy)F3 | $10.51 | Aug 20, 2018 | M | 18,333 | D | — | Jun 7, 2021 | Common Stock | 18,333 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades in prices ranging from $14.425 to $14.925, 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.
- F2This transaction was executed in multiple trades in prices ranging from $15.05 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.
- F3The option is fully vested and exercisable.