Form 4 for CDXS CODEXIS, INC.
Accepted 2022-02-09 00:00:00 ET · period of report 2022-02-07 · accession 0001567619-22-003128 · 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 | 2022-02-09 | 2022-02-07+ | CDXS | TAYLOR DEAN ROSS JR | SVP, CFO | A - Grant | $0.00 | +20.6K | 35.2K | +142% | $0 |
| DM | 2022-02-09 | 2022-02-07+ | CDXS | TAYLOR DEAN ROSS JR | SVP, CFO | A - Grant | $0.00 | +29.0K | 13.0K | New | $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 | 2022-02-07 | A | A | 9,000 | $0.00 | 44,205 | D | — | — | (F1) Restricted Stock Units ("RSUs") vest 1/3 annually from February 7, 2022 such that the RSUs will be fully vested on February 7, 2025. Each RSU represents a contingent right to receive one share of Codexis common stock. |
| 2 | Common | Common Stock | 2022-02-08 | A | A | 11,640 | $0.00 | 35,205 | D | — | — | |
| 3 | Derivative | Stock Option (Right to Buy) | 2022-02-08 | A | A | 16,006 | $0.00 | 16,006 | D | $26.16 · — to 2031-02-16 | 16,006 Common Stock | (F3) On February 16, 2021, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2021 with any remaining shares forfeited. On February 8, 2022, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 72.75% of the target level, which will result in the vesting of the option with respect to 8,003 shares on March 5, 2022 and 8,003 shares on March 5, 2023, in each case subject to the reporting person's continued service to the issuer through such vesting date. |
| 4 | Derivative | Stock Option (Right to Buy) | 2022-02-07 | A | A | 13,000 | $0.00 | 13,000 | D | $19.39 · — to 2032-02-07 | 13,000 Common Stock | (F4) Option vests with respect to 25% of the shares subject thereto on February 7, 2023, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 7, 2026. |