SANGSTER GORDON 4

4 · CODEXIS INC · Filed Jan 28, 2019

Form 4

Period: 2019-01-24

SVP & Chief Financial Officer

Transactions

Exercise/Conversion
Common Stock
2019-01-25$3.39/sh+40,000$135,600→ 174,453 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-01-24+35,000→ 98,000 total
Exercise: $3.39Exp: 2025-02-10→ Common Stock (35,000 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2019-01-25+40,000→ 58,000 total
Exercise: $3.39Exp: 2025-02-10→ Common Stock (40,000 underlying)
Exercise/Conversion
Common Stock
2019-01-24$3.39/sh+35,000$118,650→ 169,453 total
Sale
Common Stock
2019-01-24$16.74/sh−35,000$585,942→ 134,453 total
Sale
Common Stock
2019-01-25$17.11/sh−40,000$684,236→ 134,453 total

Footnotes (4)

[F1]Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018.
[F2]This transaction was executed in multiple trades in prices ranging from $16.46 to $16.88, inclusive. The price report 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.
[F3]This transaction was executed in multiple trades in prices ranging from $16.81 to $17.24, inclusive. The price report 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]Option vests with respect to 25% of the shares subject on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019.

Documents

1 file