SANGSTER GORDON 4

4 · CODEXIS INC · Filed Mar 22, 2019

Form 4

Period: 2019-03-20

SVP & Chief Financial Officer

Transactions

Sale
Common Stock
2019-03-20$20.85/sh−40,000$834,012→ 134,453 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-03-21+40,000→ 83,000 total
Exercise: $4.10Exp: 2026-02-18→ Common Stock (40,000 underlying)
Sale
Common Stock
2019-03-21$20.91/sh−40,000$836,204→ 134,453 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-03-20+40,000→ 18,000 total
Exercise: $3.39Exp: 2025-02-10→ Common Stock (40,000 underlying)
Exercise/Conversion
Common Stock
2019-03-20$3.39/sh+40,000$135,600→ 174,453 total
Exercise/Conversion
Common Stock
2019-03-21$4.10/sh+40,000$164,000→ 174,453 total

Footnotes (5)

[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 $20.53 to $21.13, 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 $20.73 to $21.24, 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 is fully vested and exercisable.
[F5]Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020.

Documents

1 file