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CODEXIS, INC. — Director's Dealing 2010
Apr 21, 2010
33607_dirs_2010-04-21_bd196f91-3cce-45bd-bfbb-44536dade5be.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: Anton David L. (SVP, Research and Development)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $11.85 | 2018-05-22 | Common Stock (100000) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (23333) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (33333) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (23333) | Direct | |
| Stock Option (right to buy) | $10.92 | 2020-02-11 | Common Stock (53333) | Direct |
Footnotes
F1: Option vests with respect to 25% of the shares subject thereto on March 24, 2009, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on March 24, 2012.
F2: 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).
F3: 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.
F4: Option vests with respect to 25% of the shares subject thereto on May 12, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on May 12, 2013.
F5: 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.
F6: 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.