Form 4 for CDXS CODEXIS, INC.
Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-10 · accession 0001567619-21-020031 · 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 | 2021-11-12 | 2021-11-10+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | S - Sale+OE | $39.32 | -73.5K | 1.04M | -7% | -$2.89M |
| DM | 2021-11-12 | 2021-11-10+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $2.86 | +73.5K | 1.06M | +7% | +$210.4K |
| DM | 2021-11-12 | 2021-11-10+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $0.00 | -73.5K | 231.5K | -24% | $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 | 2021-11-11 | S | D | 27,173 | $38.19 | 1,034,006 | D | — | — | (F5) This transaction was executed in multiple trades in prices ranging from $37.65 to $38.63, 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 | 2021-11-11 | M | A | 38,500 | $2.32 | 1,061,179 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-10 | S | D | 19,454 | $40.69 | 1,022,679 | D | — | — | (F4) This transaction was executed in multiple trades in prices ranging from $40.395 to $40.86, 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 | 2021-11-10 | S | D | 1,475 | $39.12 | 1,056,204 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $38.38 to $39.38, 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. |
| 5 | Common | Common Stock | 2021-11-10 | M | A | 35,000 | $3.46 | 1,057,679 | D | — | — | |
| 6 | Common | Common Stock | 2021-11-11 | S | D | 11,327 | $39.07 | 1,022,679 | D | — | — | (F6) This transaction was executed in multiple trades in prices ranging from $38.82 to $39.365, 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. |
| 7 | Common | Common Stock | 2021-11-10 | S | D | 14,071 | $39.85 | 1,042,133 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $39.39 to $40.38, 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. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-11-10 | M | D | 35,000 | $0.00 | 0 | D | $3.46 · 2016-06-13 to 2022-06-12 | 35,000 Common Stock | |
| 9 | Derivative | Stock Option (Right to Buy) | 2021-11-11 | M | D | 38,500 | $0.00 | 231,500 | D | $2.32 · 2017-01-24 to 2023-01-24 | 38,500 Common Stock |