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CODEXIS, INC. — Director's Dealing 2012
Mar 12, 2012
33607_dirs_2012-03-12_382433a0-e6a3-4b41-b340-27ef3c23095e.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: 2012-03-07
Reporting Person: Dowd Brian Paul (Interim CFO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 23933 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $10.50 | 2018-01-28 | Common Stock (5333) | Direct | |
| Stock Option (right to buy) | $11.85 | 2018-05-21 | Common Stock (33332) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-01 | Common Stock (19999) | Direct | |
| Stock Option (right to buy) | $10.92 | 2020-02-10 | Common Stock (16666) | 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 is 100% vested and exercisable.
F3: Option vests with respect to 25% of the shares subject thereto on May 1, 2009, with 1/48 of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on May 1, 2012.
F4: Option vests with respect to 50% of the shares subject thereto on January 1, 2011, with 1/24 of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 1, 2013.
F5: Option vests with respect to 25% of the shares subject thereto on January 1, 2011, with 1/48 of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 1, 2014.
F6: Option vests with respect to 25% of the shares subject thereto on January 26, 2012, with 1/48 of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 26, 2015.
F7: Option vests with respect to 25% of the shares subject thereto on March 7, 2013, with 1/48 of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on March 7, 2016.