SEC Form 4 · accession 0001567619-18-003426
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
Sep 27, 2018
Accepted (ET)
Oct 1, 2018 · 9:52 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 | Sep 27, 2018 | M | 40,000 | $3.46 | A | 1,112,679 | D | |
| Common StockF2 | Sep 27, 2018 | S | 32,900 | $17.5001 | D | 1,079,779 | D | |
| Common StockF3 | Sep 27, 2018 | S | 7,100 | $18.6754 | D | 1,072,679 | D | |
| Common Stock | Sep 28, 2018 | M | 40,000 | $3.46 | A | 1,112,679 | D | |
| Common StockF4 | Sep 28, 2018 | S | 40,000 | $17.4331 | 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)F5 | $3.46 | Sep 27, 2018 | M | 40,000 | D | — | Jun 12, 2022 | Common Stock | 40,000 | 314,269 | D |
| Stock Option (Right to Buy)F5 | $3.46 | Sep 28, 2018 | M | 40,000 | D | — | Jun 12, 2022 | Common Stock | 40,000 | 274,269 | 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 $17.275 to $18.20, 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 $18.35 to $19.125, 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.
- F4This transaction was executed in multiple trades in prices ranging from $17.05 to $17.90, 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.
- F5The option is fully vested and exercisable.