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CODEXIS, INC. — Director's Dealing 2013
Jan 28, 2013
33607_dirs_2013-01-28_91a5bd47-73d8-48f0-9789-b797f178b000.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: 2013-01-24
Reporting Person: Seufer-Wasserthal Peter (SVP, Pharmaceuticals)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 55000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.05 | 2016-02-29 | Common Stock (33333) | Direct | |
| Stock Option (right to buy) | $2.45 | 2017-01-25 | Common Stock (34332) | Direct | |
| Stock Option (right to buy) | $6.71 | 2017-08-27 | Common Stock (27333) | Direct | |
| Stock Option (right to buy) | $6.86 | 2017-10-24 | Common Stock (43333) | Direct | |
| Stock Option (right to buy) | $7.46 | 2019-06-01 | Common Stock (41666) | 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 (47000) | Direct |
Footnotes
F1: Includes 32,500 Restricted Stock Units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit.
F2: The option is fully vested and exercisable.
F3: 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.
F4: 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.