Filing Details
- Accession Number:
- 0001140361-15-040924
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-12 18:46:22
- Reporting Period:
- 2015-11-10
- Filing Date:
- 2015-11-12
- Accepted Time:
- 2015-11-12 18:46:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1200375 | Codexis Inc | CDXS | Industrial Organic Chemicals (2860) | 710872999 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1599677 | James Lalonde | C/O Codexis, Inc. 200 Penobscot Drive Redwood City CA 94063 | Svp, R&D | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-11-10 | 10,275 | $1.05 | 161,061 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-10 | 3,636 | $3.52 | 157,425 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-11-11 | 16,391 | $1.05 | 173,816 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-11 | 5,805 | $3.52 | 168,011 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-10 | 10,275 | $0.00 | 10,275 | $1.05 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-11 | 16,391 | $0.00 | 16,391 | $1.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,391 | 2015-12-12 | No | 4 | M | Direct | |
| 0 | 2015-12-12 | No | 4 | M | Direct |
Footnotes
- The shares were sold solely to cover the exercise cost of the option pursuant to which the shares were acquired.
- This transaction was executed in multiple trades in prices ranging from $3.51 to $3.54, 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.
- This transaction was executed in multiple trades in prices ranging from $3.51 to $3.52, 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.
- The option is fully vested and exercisable.
- The option was exercised by the Reporting Person ahead of its expiration on December 12, 2015.
Billionaire Hedge Funds
