Filing Details
- Accession Number:
- 0001140361-18-014862
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-23 20:30:15
- Reporting Period:
- 2018-03-22
- Accepted Time:
- 2018-03-23 20:30:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1238884 | J John Nicols | C/O Codexis, Inc. 200 Penobscot Drive Redwood City CA 94063 | President And Ceo | Yes | 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 | 2018-03-22 | 6,311 | $3.46 | 1,078,990 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-22 | 6,311 | $11.91 | 1,072,679 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-03-23 | 16,154 | $3.46 | 1,088,833 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-23 | 16,154 | $11.43 | 1,072,679 | 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) | Acquisiton | 2018-03-22 | 6,311 | $0.00 | 6,311 | $3.46 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2018-03-23 | 16,154 | $0.00 | 16,154 | $3.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 393,689 | 2022-06-12 | No | 4 | M | Direct | |
| 377,535 | 2022-06-12 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017.
- This transaction was executed in multiple trades in prices ranging from $11.90 to $12.00, 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.
- This transaction was executed in multiple trades in prices ranging from $11.35 to $11.60, 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.
- The option is fully vested and exercisable.
Billionaire Hedge Funds
