4//SEC Filing
SHAW ALAN 4
Accession 0001181431-11-040631
CIK 0001200375other
Filed
Jul 6, 8:00 PM ET
Accepted
Jul 7, 8:50 PM ET
Size
15.1 KB
Accession
0001181431-11-040631
Insider Transaction Report
Form 4
CODEXIS INCCDXS
SHAW ALAN
DirectorPresident and CEO
Transactions
- Exercise/Conversion
Common Stock
2011-07-06$0.60/sh+1,250$750→ 76,250 total - Exercise/Conversion
Common Stock
2011-07-07$0.60/sh+13,750$8,250→ 88,750 total - Exercise/Conversion
Stock Option (right to buy)
2011-07-06−1,250→ 57,083 totalExercise: $0.60Exp: 2013-05-16→ Common Stock (1,250 underlying) - Sale
Common Stock
2011-07-06$10.01/sh−1,250$12,509→ 75,000 total - Sale
Common Stock
2011-07-07$10.14/sh−13,750$139,369→ 75,000 total - Exercise/Conversion
Stock Option (right to buy)
2011-07-07−13,750→ 43,333 totalExercise: $0.60Exp: 2013-05-16→ Common Stock (13,750 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 $10.00 to $10.03. 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 $10.00 to $10.21. 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.
- [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
- Jul 6, 8:00 PM ET
- Accepted
- Jul 7, 8:50 PM ET
- Size
- 15.1 KB