Form 4 for CDXS CODEXIS, INC.
Accepted 2022-03-11 00:00:00 ET · period of report 2022-03-09 · accession 0001567619-22-006782 · 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 | 2022-03-11 | 2022-03-09+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $2.32 | +77.0K | 1.06M | +8% | +$178.6K |
| DM | 2022-03-11 | 2022-03-09+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | S - Sale+OE | $19.11 | -77.0K | 1.02M | -7% | -$1.47M |
| DM | 2022-03-11 | 2022-03-09+ | CDXS | NICOLS JOHN J | Pres, CEO, Dir | M - OptEx | $0.00 | -77.0K | 193.0K | -29% | $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 | 2022-03-10 | M | A | 38,500 | $2.32 | 1,061,179 | D | — | — | |
| 2 | Common | Common Stock | 2022-03-10 | S | D | 38,500 | $18.93 | 1,022,679 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $18.69 to $19.26, 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. |
| 3 | Common | Common Stock | 2022-03-09 | S | D | 38,500 | $19.30 | 1,022,679 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $18.71 to $19.65, 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 | 2022-03-09 | M | A | 38,500 | $2.32 | 1,061,179 | D | — | — | |
| 5 | Derivative | Stock Option (Right to Buy) | 2022-03-10 | M | D | 38,500 | $0.00 | 154,500 | D | $2.32 · 2017-01-24 to 2023-01-24 | 38,500 Common Stock | |
| 6 | Derivative | Stock Option (Right to Buy) | 2022-03-09 | M | D | 38,500 | $0.00 | 193,000 | D | $2.32 · 2017-01-24 to 2023-01-24 | 38,500 Common Stock |