Form 4 for CDXS CODEXIS, INC.
Accepted 2021-08-16 00:00:00 ET · period of report 2021-08-12 · accession 0001567619-21-015831 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-16 | 2021-08-12+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | S - Sale+OE | $24.15 | -70.0K | 1.02M | -6% | -$1.69M |
| DM | 2021-08-16 | 2021-08-12+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $3.46 | +70.0K | 1.06M | +7% | +$242.2K |
| DM | 2021-08-16 | 2021-08-12+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $0.00 | -70.0K | 70.0K | -50% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-12 | S | D | 34,066 | $24.51 | 1,023,613 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $24.20 to $25.15, 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. |
| 2 | Common | Common Stock | 2021-08-12 | M | A | 35,000 | $3.46 | 1,057,679 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-13 | S | D | 35,000 | $23.77 | 1,022,679 | D | — | — | (F4) This transaction was executed in multiple trades in prices ranging from $23.53 to $24.12, 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. |
| 4 | Common | Common Stock | 2021-08-13 | M | A | 35,000 | $3.46 | 1,057,679 | D | — | — | |
| 5 | Common | Common Stock | 2021-08-12 | S | D | 934 | $25.29 | 1,022,679 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $25.24 to $25.36, 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. |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-08-13 | M | D | 35,000 | $0.00 | 35,000 | D | $3.46 · 2016-06-13 to 2022-06-12 | 35,000 Common Stock | |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-08-12 | M | D | 35,000 | $0.00 | 70,000 | D | $3.46 · 2016-06-13 to 2022-06-12 | 35,000 Common Stock |