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CODEXIS, INC. — Director's Dealing 2010
Apr 21, 2010
33607_dirs_2010-04-21_a699bb8a-b9e3-448d-aa23-f8364277f8d1.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: Sarret Joseph J. (CBO, President Pharmaceuticals)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13333 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.05 | 2015-08-11 | Common Stock (36666) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-01-26 | Common Stock (53333) | Direct | |
| Stock Option (right to buy) | $6.71 | 2017-08-28 | Common Stock (19666) | Direct | |
| Stock Option (right to buy) | $6.86 | 2017-10-25 | Common Stock (40000) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (37000) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (13333) | Direct | |
| Stock Option (right to buy) | $9.09 | 2019-11-09 | Common Stock (120000) | Direct | |
| Stock Option (right to buy) | $11.87 | 2020-03-11 | Common Stock (33333) | 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: Shares held by Joseph Sarret as Trustee UTD 5/30/00.
F3: 100% of the shares subject to the option are fully vested and exercisable.
F4: Option vests with respect to 25% of the shares subject thereto on January 26, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 26, 2011.
F5: Option vests with respect to 25% of the shares subject thereto on August 28, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 28, 2011.
F6: Option vests with respect to 25% of the shares subject thereto on October 25, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 25, 2011.
F7: Option vests with respect to 25% of the shares subject thereto on March 1, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on March 1, 2013.
F8: Option vests with respect to 1/24th of the shares subject thereto monthly commencing on January 1, 2011, such that the option will be fully vested and exercisable on January 1, 2013.
F9: Option vests with respect to 25% of the shares subject thereto on October 16, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2013.
F10: Option vests with respect to 100% of the shares subject thereto on January 1, 2015. Upon the completion of the Issuer's initial public offering, the option will vest with respect to 25% of the shares subject thereto on January 1, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 1, 2014.