Filing Details
- Accession Number:
- 0001181431-11-022675
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-05 21:38:02
- Reporting Period:
- 2011-04-01
- Filing Date:
- 2011-04-05
- Accepted Time:
- 2011-04-05 21:38:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1180767 | Alan Shaw | 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 | 2011-04-01 | 15,000 | $0.60 | 90,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-01 | 15,000 | $12.07 | 75,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2011-04-01 | 15,000 | $0.00 | 15,000 | $0.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 188,333 | 2013-05-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 193,666 | Indirect | See Footnote |
Footnotes
- Includes 75,000 restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2010.
- This transaction was executed in multiple trades in prices ranging from $11.90 to $12.2275. 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.
- Restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
- Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees (the "Living Trust"). Includes 50,000 shares that were transferred to the Living Trust on March 30, 2011 by Alan Shaw (the "Transfer"). Such Transfer only involved a change in the form of beneficial ownership and did not change the Reporting Person's pecuniary interest in the shares. Therefore, the Transfer was exempt from the reporting requirements under Section 16(a).
- 100% of the shares subject to the option are fully vested and exercisable.
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