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CODEXIS, INC. — Director's Dealing 2010
Apr 21, 2010
33607_dirs_2010-04-21_509dedf2-1c6c-4aaf-8b9c-e1a690aad060.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: SHAW ALAN (Director, President and CEO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 47534 | Indirect |
| Common Stock | 44132 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.60 | 2013-05-16 | Common Stock (333333) | Direct | |
| Stock Option (right to buy) | $0.60 | 2013-07-15 | Common Stock (33333) | Direct | |
| Stock Option (right to buy) | $0.60 | 2013-12-11 | Common Stock (93333) | Direct | |
| Stock Option (right to buy) | $0.90 | 2015-01-05 | Common Stock (53333) | Direct | |
| Stock Option (right to buy) | $0.90 | 2015-01-05 | Common Stock (13333) | Direct | |
| Stock Option (right to buy) | $1.05 | 2015-10-18 | Common Stock (33333) | Direct | |
| Stock Option (right to buy) | $1.05 | 2015-12-13 | Common Stock (46666) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-01-26 | Common Stock (144750) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-01-26 | Common Stock (144750) | Direct | |
| Stock Option (right to buy) | $6.71 | 2017-08-28 | Common Stock (225000) | Direct | |
| Stock Option (right to buy) | $6.86 | 2017-10-25 | Common Stock (116000) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-02 | Common Stock (266666) | Direct | |
| Stock Option (right to buy) | $10.92 | 2020-02-11 | Common Stock (266666) | 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 Alan Shaw, Trustee of The Alan Shaw 2008 Annuity Trust, dated June 20, 2008.
F3: Shares held by The Shaw Living Trust Agreement, for which the Reporting Person is trustee.
F4: 100% of the shares subject to the option are fully vested and exercisable.
F5: Option vests with respect to 25% of the shares subject thereto on August 23, 2007, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 23, 2010.
F6: Option vests with respect to 25% of the shares subject thereto on December 31, 2007, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on December 31, 2010.
F7: 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.
F8: 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.
F9: 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.
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.