Filing Details
- Accession Number:
- 0001567619-21-010722
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-19 16:11:33
- Reporting Period:
- 2021-05-17
- Accepted Time:
- 2021-05-19 16:11:33
- 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 | 2021-05-17 | 35,385 | $3.46 | 1,058,064 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-17 | 35,385 | $18.12 | 1,022,679 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-18 | 35,000 | $3.46 | 1,057,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-18 | 13,877 | $18.56 | 1,043,802 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-05-18 | 21,123 | $18.93 | 1,022,679 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2021-05-17 | 35,385 | $0.00 | 35,385 | $3.46 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-05-18 | 35,000 | $0.00 | 35,000 | $3.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 140,000 | 2016-06-13 | 2022-06-12 | No | 4 | M | Direct |
| 105,000 | 2016-06-13 | 2022-06-12 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.
- This transaction was executed in multiple trades in prices ranging from $17.76 to $18.50, 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 $17.80 to $18.79, 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 $18.80 to $19.12, 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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