Filing Details
- Accession Number:
- 0001567619-19-007501
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-22 18:25:08
- Reporting Period:
- 2019-03-20
- Accepted Time:
- 2019-03-22 18:25:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1243383 | Gordon Sangster | C/O Codexis, Inc. 200 Penobscot Drive Redwood City CA 94063 | Svp & Chief Financial Officer | 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 | 2019-03-20 | 40,000 | $3.39 | 174,453 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-03-20 | 40,000 | $20.85 | 134,453 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-03-21 | 40,000 | $4.10 | 174,453 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-03-21 | 40,000 | $20.91 | 134,453 | 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 | 2019-03-20 | 40,000 | $0.00 | 40,000 | $3.39 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2019-03-21 | 40,000 | $0.00 | 40,000 | $4.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,000 | 2025-02-10 | No | 4 | M | Direct | |
| 83,000 | 2026-02-18 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018.
- This transaction was executed in multiple trades in prices ranging from $20.53 to $21.13, 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.
- This transaction was executed in multiple trades in prices ranging from $20.73 to $21.24, 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.
- Option is fully vested and exercisable.
- Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020.
Billionaire Hedge Funds
