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CODEXIS, INC. — Director's Dealing 2011
Dec 19, 2011
33607_dirs_2011-12-19_69b0edd3-c4d7-4a1a-9ed7-122bd9bc8f3e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CODEXIS INC (CDXS)
CIK: 0001200375
Period of Report: 2011-12-15
Reporting Person: SHAW ALAN (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-15 | Common Stock | S | 30000 | $5.2959 | Disposed | 225846 | Indirect |
| 2011-12-16 | Common Stock | S | 23846 | $5.2518 | Disposed | 202000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 75000 | Direct |
Footnotes
F1: This transaction was executed in multiple trades in prices ranging from $5.15 to $5.41. 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 within the range set forth in this footnote.
F2: Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees.
F3: This transaction was executed in multiple trades in prices ranging from $5.14 to $5.40. 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 within the range set forth in this footnote.
F4: Restricted stock units.