Filing Details

Accession Number:
0001567619-20-017752
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-10-13 16:04:14
Reporting Period:
2020-10-08
Accepted Time:
2020-10-13 16:04:14
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
1513219 L Byron Dorgan C/O Codexis, Inc.
200 Penobscot Drive
Redwood City CA 94063
Yes No 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 2020-10-08 25,000 $10.63 187,790 No 4 M Direct
Common Stock Disposition 2020-10-08 25,000 $13.49 162,790 No 4 S Direct
Common Stock Acquisiton 2020-10-09 25,000 $10.63 187,790 No 4 M Direct
Common Stock Disposition 2020-10-09 25,000 $13.54 162,790 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-10-08 25,000 $0.00 25,000 $10.63
Common Stock Stock Option (Right to Buy) Disposition 2020-10-09 25,000 $0.00 25,000 $10.63
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
75,000 2014-02-17 2021-02-16 No 4 M Direct
50,000 2014-02-17 2021-02-16 No 4 M Direct
Footnotes
  1. The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.
  2. The transaction was executed in multiple trades in prices ranging from $12.94 to $13.64, 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. The transaction was executed in multiple trades in prices ranging from $13.32 to $13.77, 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.