Filing Details

Accession Number:
0001140361-18-024289
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-16 20:59:56
Reporting Period:
2018-05-15
Accepted Time:
2018-05-16 20:59:56
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
1687664 D. Michael Aldridge C/O Codexis, Inc.
200 Penobscot Drive
Redwood City CA 94063
See Remarks No 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 2018-05-15 22,000 $4.37 22,000 No 4 M Direct
Common Stock Disposition 2018-05-15 22,000 $12.91 0 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 2018-05-15 22,000 $0.00 22,000 $4.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
228,000 2026-10-15 No 4 M Direct
Footnotes
  1. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017.
  2. This transaction was executed in multiple trades in prices ranging from $12.775 to $13.125, 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.
  3. Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date.