Filing Details
- Accession Number:
- 0001567619-22-010516
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-05-13 16:04:45
- Reporting Period:
- 2022-05-11
- Accepted Time:
- 2022-05-13 16:04:45
- 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 | 2022-05-11 | 38,500 | $2.32 | 1,061,179 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-05-11 | 38,500 | $10.31 | 1,022,679 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-05-12 | 38,500 | $2.32 | 1,061,179 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-05-12 | 22,091 | $10.09 | 1,039,088 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-05-12 | 16,409 | $10.61 | 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 | 2022-05-11 | 38,500 | $0.00 | 38,500 | $2.32 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-05-12 | 38,500 | $0.00 | 38,500 | $2.32 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 116,000 | 2017-01-24 | 2023-01-24 | No | 4 | M | Direct |
| 77,500 | 2017-01-24 | 2023-01-24 | 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 $10.07 to $10.59, 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 $9.47 to $10.46, 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 $10.47 to $10.85, 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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