4//SEC Filing
Lalonde James 4
Accession 0001567619-19-011235
CIK 0001200375other
Filed
May 14, 8:00 PM ET
Accepted
May 15, 4:23 PM ET
Size
15.1 KB
Accession
0001567619-19-011235
Insider Transaction Report
Form 4
CODEXIS INCCDXS
Lalonde James
SVP, R&D
Transactions
- Exercise/Conversion
Common Stock
2019-05-13$7.46/sh+17,621$131,453→ 151,023 total - Sale
Common Stock
2019-05-13$18.61/sh−17,621$327,955→ 133,402 total - Exercise/Conversion
Common Stock
2019-05-14$7.46/sh+2,378$17,740→ 135,780 total - Sale
Common Stock
2019-05-14$18.95/sh−2,378$45,060→ 133,402 total - Exercise/Conversion
Stock Option (Right to Buy)
2019-05-13−17,621→ 2,378 totalExercise: $7.46→ Common Stock (17,621 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2019-05-14−2,378→ 0 totalExercise: $7.46→ Common Stock (2,378 underlying)
Footnotes (6)
- [F1]Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
- [F2]This transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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 with the range set forth in this footnote.
- [F3]Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
- [F4]This transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with the range set forth in this footnote.
- [F5]The option is fully vested and exercisable.
- [F6]The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019.
Documents
Issuer
CODEXIS INC
CIK 0001200375
Entity typeother
Related Parties
1- filerCIK 0001599677
Filing Metadata
- Form type
- 4
- Filed
- May 14, 8:00 PM ET
- Accepted
- May 15, 4:23 PM ET
- Size
- 15.1 KB