SEC Form 4 · accession 0001567619-19-003799
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Lalonde
Officer — SVP, R&D
Period of report
Feb 11, 2019
Accepted (ET)
Feb 13, 2019 · 4:41 pm EST
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 StockF2 | Feb 11, 2019 | S | 8,958 | $21.5737 | D | 142,359 | D | |
| Common StockF3 | Feb 12, 2019 | S | 8,957 | $21.693 | D | 133,402 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017.
- F2This transaction was executed in multiple trades in prices ranging from $21.41 to $21.75, 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 with the range set forth in this footnote.
- F3This transaction was executed in multiple trades in prices ranging from $21.55 to $21.85, 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 with the range set forth in this footnote.