Filing Details
- Accession Number:
- 0001567619-18-003426
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-01 21:52:41
- Reporting Period:
- 2018-09-27
- Accepted Time:
- 2018-10-01 21:52:41
- 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 | 2018-09-27 | 40,000 | $3.46 | 1,112,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-27 | 32,900 | $17.50 | 1,079,779 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-09-27 | 7,100 | $18.68 | 1,072,679 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-09-28 | 40,000 | $3.46 | 1,112,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-28 | 40,000 | $17.43 | 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 | 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 | 2018-09-27 | 40,000 | $0.00 | 40,000 | $3.46 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-09-28 | 40,000 | $0.00 | 40,000 | $3.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 314,269 | 2022-06-12 | No | 4 | M | Direct | |
| 274,269 | 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 $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.
- This 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.
- This 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.
- The option is fully vested and exercisable.
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