Form 4 for CDXS CODEXIS, INC.
Accepted 2022-10-31 00:00:00 ET · period of report 2022-10-27 · accession 0001567619-22-018951 · 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 | 2022-10-31 | 2022-10-27+ | CDXS | NICOLS JOHN J | Dir | S - Sale+OE | $5.61 | -75.5K | 943.1K | -7% | -$423.5K |
| D | 2022-10-31 | 2022-10-28 | CDXS | NICOLS JOHN J | Dir | M - OptEx | $1.97 | +35.7K | 978.8K | +4% | +$70.4K |
| D | 2022-10-31 | 2022-10-28 | CDXS | NICOLS JOHN J | Dir | M - OptEx | $0.00 | -35.7K | 428.6K | -8% | $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 | 2022-10-28 | S | D | 35,716 | $5.53 | 943,106 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $5.40 to $5.66, 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 | 2022-10-28 | M | A | 35,716 | $1.97 | 978,822 | D | — | — | |
| 3 | Common | Common Stock | 2022-10-27 | S | D | 39,786 | $5.68 | 943,106 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $5.58 to $5.88, 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 | Derivative | Stock Option (Right to Buy) | 2022-10-28 | M | D | 35,716 | $0.00 | 428,568 | D | $1.97 · 2018-02-24 to 2024-02-23 | 35,716 Common Stock |