Form 4 for CDXS CODEXIS, INC.
Accepted 2023-04-19 00:00:00 ET · period of report 2023-04-17 · accession 0001610717-23-000016 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMT | 2023-04-19 | 2023-04-17+ | CDXS | NICOLS JOHN J | Dir | S - Sale+OE | $4.19 | -71.4K | 784.0K | -8% | -$299.3K |
| DMT | 2023-04-19 | 2023-04-17+ | CDXS | NICOLS JOHN J | Dir | M - OptEx | $1.97 | +71.4K | 819.7K | +10% | +$140.7K |
| DMT | 2023-04-19 | 2023-04-17+ | CDXS | NICOLS JOHN J | Dir | M - OptEx | $0.00 | -71.4K | 142.9K | -33% | $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 | 2023-04-17 | S | D | 35,714 | $4.24 | 783,965 | D | — | — | (F2) This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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 | 2023-04-18 | M | A | 35,714 | $1.97 | 819,679 | D | — | — | |
| 3 | Common | Common Stock | 2023-04-17 | M | A | 35,714 | $1.97 | 819,679 | D | — | — | |
| 4 | Common | Common Stock | 2023-04-18 | S | D | 35,714 | $4.14 | 783,965 | D | — | — | (F3) This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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 | Derivative | Stock Option (Right to Buy) | 2023-04-17 | M | D | 35,714 | $0.00 | 178,570 | D | $1.97 · 2018-02-24 to 2024-02-24 | 35,714 Common Stock | |
| 6 | Derivative | Stock Option (Right to Buy) | 2023-04-18 | M | D | 35,714 | $0.00 | 142,856 | D | $1.97 · 2018-02-24 to 2024-02-24 | 35,714 Common Stock |