Filing Details

Accession Number:
0001181431-11-022675
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-04-05 21:38:02
Reporting Period:
2011-04-01
Filing Date:
2011-04-05
Accepted Time:
2011-04-05 21:38:02
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 Acquisiton 2011-04-01 15,000 $0.60 90,000 No 4 M Direct
Common Stock Disposition 2011-04-01 15,000 $12.07 75,000 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 2011-04-01 15,000 $0.00 15,000 $0.60
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
188,333 2013-05-16 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 193,666 Indirect See Footnote
Footnotes
  1. Includes 75,000 restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
  2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2010.
  3. This transaction was executed in multiple trades in prices ranging from $11.90 to $12.2275. 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.
  4. Restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
  5. Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees (the "Living Trust"). Includes 50,000 shares that were transferred to the Living Trust on March 30, 2011 by Alan Shaw (the "Transfer"). Such Transfer only involved a change in the form of beneficial ownership and did not change the Reporting Person's pecuniary interest in the shares. Therefore, the Transfer was exempt from the reporting requirements under Section 16(a).
  6. 100% of the shares subject to the option are fully vested and exercisable.