Filing Details
- Accession Number:
- 0001209191-11-061569
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-15 18:44:16
- Reporting Period:
- 2011-12-13
- Filing Date:
- 2011-12-15
- Accepted Time:
- 2011-12-15 18:44:16
- 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 | Disposition | 2011-12-13 | 7,820 | $5.33 | 285,846 | No | 4 | S | Indirect | See Footnote |
| Common Stock | Disposition | 2011-12-14 | 30,000 | $5.26 | 255,846 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 75,000 | Direct |
Footnotes
- This transaction was executed in multiple trades in prices ranging from $5.25 to $5.49. 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.
- Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees.
- This transaction was executed in multiple trades in prices ranging from $5.10 to $5.37. 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.
Billionaire Hedge Funds
