Form 4 for CDXS CODEXIS, INC.
Accepted 2023-03-17 00:00:00 ET · period of report 2023-03-15 · accession 0001567619-23-005259 · 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 | 2023-03-17 | 2023-03-15+ | CDXS | NICOLS JOHN J | Dir | S - Sale+OE | $4.10 | -71.4K | 784.0K | -8% | -$292.9K |
| DM | 2023-03-17 | 2023-03-15+ | CDXS | NICOLS JOHN J | Dir | M - OptEx | $1.97 | +71.4K | 819.7K | +10% | +$140.7K |
| DM | 2023-03-17 | 2023-03-15+ | CDXS | NICOLS JOHN J | Dir | M - OptEx | $0.00 | -71.4K | 250.0K | -22% | $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 | 2023-03-15 | S | D | 35,714 | $4.09 | 783,965 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $4.02 to $4.15, 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 | 2023-03-16 | S | D | 35,714 | $4.11 | 783,965 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $4.01 to $4.195, 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 | 2023-03-15 | M | A | 35,714 | $1.97 | 819,679 | D | — | — | |
| 4 | Common | Common Stock | 2023-03-16 | M | A | 35,714 | $1.97 | 819,679 | D | — | — | |
| 5 | Derivative | Stock Option (Right to Buy) | 2023-03-16 | M | D | 35,714 | $0.00 | 214,284 | D | $1.97 · 2018-02-24 to 2024-02-24 | 35,714 Common Stock | |
| 6 | Derivative | Stock Option (Right to Buy) | 2023-03-15 | M | D | 35,714 | $0.00 | 249,998 | D | $1.97 · 2018-02-24 to 2024-02-23 | 35,714 Common Stock |