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CODEXIS, INC. — Director's Dealing 2012
Sep 7, 2012
33607_dirs_2012-09-07_30d61a45-4101-4b10-b0c0-cd36c1d934d9.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: 2012-08-28
Reporting Person: Tobin Matthew (SVP, Research & Development)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 46941 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.6 | 2013-05-26 | Common Stock (3033) | Direct | |
| Stock Option (Right to Buy) | $0.9 | 2015-01-04 | Common Stock (2000) | Direct | |
| Stock Option (Right to Buy) | $1.05 | 2015-12-12 | Common Stock (6666) | Direct | |
| Stock Option (Right to Buy) | $6.71 | 2017-08-27 | Common Stock (5333) | Direct | |
| Stock Option (Right to Buy) | $8.69 | 2017-12-10 | Common Stock (6666) | Direct | |
| Stock Option (Right to Buy) | $10.5 | 2018-01-28 | Common Stock (10000) | Direct | |
| Stock Option (Right to Buy) | $7.46 | 2019-06-01 | Common Stock (19999) | Direct | |
| Stock Option (Right to Buy) | $10.92 | 2020-04-26 | Common Stock (20666) | Direct | |
| Stock Option (Right to Buy) | $9.15 | 2021-01-25 | Common Stock (15000) | Direct | |
| Stock Option (Right to Buy) | $3.56 | 2022-03-06 | Common Stock (29000) | Direct |
Footnotes
F1: Includes 22,500 Restricted Stock Units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
F2: Option vested with respect to 25% of the shares subject thereto on May 16, 2004, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on May 16, 2007.
F3: Option vested with respect to 25% of the shares subject thereto on January 1, 2006, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on January 1, 2009.
F4: Option vested with respect to 25% of the shares subject thereto on January 1, 2007, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on January 1, 2010.
F5: Option vested with respect to 25% of the shares subject thereto on August 28, 2008, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on August 28, 2011.
F6: Option vested with respect to 25% of the shares subject thereto on November 16, 2008, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on November 16, 2011.
F7: Option vested with respect to 25% of the shares subject thereto on January 1, 2009, and 1/48th of the shares vested monthly thereafter, such that the option was fully vested and exercisable on January 1, 2012.
F8: Option vests with respect to 1/24th of the shares subject thereto on each monthly anniversary of January 1, 2011, such that the option will be fully vested and exercisable on January 1, 2013.
F9: Option vested 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.
F10: Option vested with respect to 25% of the shares subject thereto on January 26, 2012, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 26, 2015.
F11: Option vests with respect to 25% of the shares subject thereto on March 7, 2013, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on March 7, 2016.