SEC Form 4 · accession 0001567619-18-003723
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gordon Sangster
Officer — SVP & Chief Financial Officer
Period of report
Oct 2, 2018
Accepted (ET)
Oct 4, 2018 · 6:36 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 | Oct 2, 2018 | M | 40,000 | $16.7619 | A | 174,453 | D | |
| Common StockF2,F3 | Oct 2, 2018 | S | 40,000 | $16.7619 | D | 134,453 | D | |
| Common Stock | Oct 3, 2018 | M | 40,000 | $17.1129 | A | 174,453 | D | |
| Common StockF2,F4 | Oct 3, 2018 | S | 13,558 | $16.7435 | D | 160,895 | D | |
| Common StockF2,F5 | Oct 3, 2018 | S | 26,442 | $17.3023 | D | 134,453 | 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)F1 | $2.45 | Oct 2, 2018 | M | 40,000 | D | — | Aug 18, 2024 | Common Stock | 40,000 | 75,000 | D |
| Stock Option (Right to Buy)F1 | $2.45 | Oct 3, 2018 | M | 40,000 | D | — | Aug 18, 2024 | Common Stock | 40,000 | 35,000 | D |
Explanation of responses
- F1The Option is fully vested and exercisable.
- F2Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018.
- F3This transaction was executed in multiple trades in prices ranging from $16.46 to $17.00, inclusive. The price report 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 $16.52 to $16.995, inclusive. The price report 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.
- F5This transaction was executed in multiple trades in prices ranging from $17.00 to $17.63, inclusive. The price report 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.