SEC Form 4 · accession 0001567619-18-002090
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernard J Kelley
Director
Period of report
Aug 30, 2018
Accepted (ET)
Sep 4, 2018 · 9:03 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 30, 2018 | M | 16,666 | $7.46 | A | 242,334 | D | |
| Common StockF1 | Aug 30, 2018 | S | 16,666 | $17.1475 | D | 225,668 | 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)F2 | $7.46 | Aug 30, 2018 | M | 16,666 | D | — | Jun 2, 2019 | Common Stock | 16,666 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades in prices ranging from $16.925 to $17.40, inclusive. The price reported in Column 4 above reflects the weighted average sales 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.
- F2100% of the shares subject to the option are fully vested and exercisable.