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CODEXIS, INC. — Director's Dealing 2010
Apr 21, 2010
33607_dirs_2010-04-21_6f1bca55-c298-43dc-aca6-c11c24b5e73a.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CODEXIS INC (CDXS)
CIK: 0001200375
Period of Report: 2010-04-21
Reporting Person: KELLEY BERNARD J (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 24998 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.05 | 2015-10-18 | Common Stock (16666) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-01-26 | Common Stock (16666) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-06-19 | Common Stock (5000) | Direct | |
| Stock Option (right to buy) | $10.50 | 2018-01-29 | Common Stock (16666) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (16666) | Direct | |
| Stock Option (right to buy) | $10.92 | 2020-02-11 | Common Stock (16666) | Direct |
Footnotes
F1: Reflects a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-164044).
F2: 100% of the shares subject to the option are fully vested and exercisable.
F3: 100% of the shares subject to the option are immediately exercisable. However, all unvested shares of common stock underlying the option are subject to a right of repurchase held by the Issuer, which right of repurchase will lapse as the shares vest according to the following schedule: 25% of the shares subject thereto vest on January 1, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested on January 1, 2011.
F4: 100% of the shares subject to the option are immediately exercisable. However, all unvested shares of common stock underlying the option are subject to a right of repurchase held by the Issuer, which right of repurchase will lapse as the shares vest according to the following schedule: 25% of the shares subject thereto vest on January 1, 2009, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested on January 1, 2012.
F5: 100% of the shares subject to the option are immediately exercisable. However, all unvested shares of common stock underlying the option are subject to a right of repurchase held by the Issuer, which right of repurchase will lapse as the shares vest according to the following schedule: 25% of the shares subject thereto vest on January 1, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested on January 1, 2013.
F6: 100% of the shares subject to the option are immediately exercisable. However, all unvested shares of common stock underlying the option are subject to a right of repurchase held by the Issuer, which right of repurchase will lapse as the shares vest according to the following schedule: 25% of the shares subject thereto vest on January 1, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested on January 1, 2014.