Filing Details
- Accession Number:
- 0001567619-19-011235
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-15 16:23:02
- Reporting Period:
- 2019-05-13
- Accepted Time:
- 2019-05-15 16:23:02
- 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 | 2019-05-13 | 17,621 | $7.46 | 151,023 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-13 | 17,621 | $18.61 | 133,402 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-05-14 | 2,378 | $7.46 | 135,780 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-14 | 2,378 | $18.95 | 133,402 | 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 | 2019-05-13 | 17,621 | $0.00 | 17,621 | $7.46 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-05-14 | 2,378 | $0.00 | 2,378 | $7.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,378 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
- This transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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.
- Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
- This transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with 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 June 1, 2019.
Billionaire Hedge Funds
