Filing Details
- Accession Number:
- 0001181431-11-040631
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-07 20:50:08
- Reporting Period:
- 2011-07-06
- Filing Date:
- 2011-07-07
- Accepted Time:
- 2011-07-07 20:50:08
- 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 | 2011-07-06 | 1,250 | $0.60 | 76,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-06 | 1,250 | $10.01 | 75,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-07-07 | 13,750 | $0.60 | 88,750 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-07 | 13,750 | $10.14 | 75,000 | 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 | 2011-07-06 | 1,250 | $0.00 | 1,250 | $0.60 |
| Common Stock | Stock Option (right to buy) | Disposition | 2011-07-07 | 13,750 | $0.00 | 13,750 | $0.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 57,083 | 2013-05-16 | No | 4 | M | Direct | |
| 43,333 | 2013-05-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 293,666 | Indirect | See Footnote |
Footnotes
- 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.
- 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.
- This transaction was executed in multiple trades in prices ranging from $10.00 to $10.03. 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.
- This transaction was executed in multiple trades in prices ranging from $10.00 to $10.21. 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.
- 100% of the shares subject to the option are fully vested and exercisable.
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