Filing Details
- Accession Number:
- 0001567619-20-017752
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-13 16:04:14
- Reporting Period:
- 2020-10-08
- Accepted Time:
- 2020-10-13 16:04:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1513219 | L Byron Dorgan | C/O Codexis, Inc. 200 Penobscot Drive Redwood City CA 94063 | Yes | No | 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 | 2020-10-08 | 25,000 | $10.63 | 187,790 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-08 | 25,000 | $13.49 | 162,790 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-10-09 | 25,000 | $10.63 | 187,790 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-09 | 25,000 | $13.54 | 162,790 | 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 | 2020-10-08 | 25,000 | $0.00 | 25,000 | $10.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-09 | 25,000 | $0.00 | 25,000 | $10.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,000 | 2014-02-17 | 2021-02-16 | No | 4 | M | Direct |
| 50,000 | 2014-02-17 | 2021-02-16 | No | 4 | M | Direct |
Footnotes
- The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.
- The transaction was executed in multiple trades in prices ranging from $12.94 to $13.64, 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 transaction was executed in multiple trades in prices ranging from $13.32 to $13.77, 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.
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