4//SEC Filing
SHAW ALAN 4
Accession 0001181431-11-034942
CIK 0001200375other
Filed
Jun 2, 8:00 PM ET
Accepted
Jun 3, 7:29 PM ET
Size
15.5 KB
Accession
0001181431-11-034942
Insider Transaction Report
Form 4
CODEXIS INCCDXS
SHAW ALAN
DirectorPresident and CEO
Transactions
- Exercise/Conversion
Stock Option (right to buy)
2011-06-01−5,400→ 67,933 totalExercise: $0.60Exp: 2013-05-16→ Common Stock (5,400 underlying) - Sale
Common Stock
2011-06-02$10.37/sh−9,600$99,586→ 75,000 total - Exercise/Conversion
Common Stock
2011-06-02$0.60/sh+9,600$5,760→ 84,600 total - Exercise/Conversion
Common Stock
2011-06-01$0.60/sh+5,400$3,240→ 80,400 total - Sale
Common Stock
2011-06-01$10.41/sh−5,400$56,227→ 75,000 total - Exercise/Conversion
Stock Option (right to buy)
2011-06-02−9,600→ 58,333 totalExercise: $0.60Exp: 2013-05-16→ Common Stock (9,600 underlying)
Holdings
- 293,666(indirect: See Footnote)
Common Stock
Footnotes (7)
- [F1]Includes 75,000 restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
- [F2]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2010.
- [F3]This transaction was executed in multiple trades in prices ranging from $10.39 to $10.45. 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.
- [F4]Restricted stock units.
- [F5]This transaction was executed in multiple trades in prices ranging from $10.31 to $10.43. 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.
- [F6]Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees (the "Living Trust"). Includes 100,000 shares that were recently transferred to the Living Trust by Alan Shaw (the "Transfer"). Such Transfer only involved a change in the form of beneficial ownership and did not change the Reporting Person's pecuniary interest in the shares. Therefore, the Transfer was exempt from the reporting requirements under Section 16(a).
- [F7]100% of the shares subject to the option are fully vested and exercisable.
Documents
Issuer
CODEXIS INC
CIK 0001200375
Entity typeother
Related Parties
1- filerCIK 0001180767
Filing Metadata
- Form type
- 4
- Filed
- Jun 2, 8:00 PM ET
- Accepted
- Jun 3, 7:29 PM ET
- Size
- 15.5 KB