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CODEXIS, INC. — Director's Dealing 2019
Mar 22, 2019
33607_dirs_2019-03-22_5852775a-e22f-49f1-ba5a-1209d50ecfd6.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: 2019-03-20
Reporting Person: SANGSTER GORDON (SVP & Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-03-20 | Common Stock | M | 40000 | $3.39 | Acquired | 174453 | Direct |
| 2019-03-20 | Common Stock | S | 40000 | $20.8503 | Disposed | 134453 | Direct |
| 2019-03-21 | Common Stock | M | 40000 | $4.10 | Acquired | 174453 | Direct |
| 2019-03-21 | Common Stock | S | 40000 | $20.9051 | Disposed | 134453 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-03-20 | Stock Option (Right to Buy) | $3.39 | M | 40000 | Acquired | 2025-02-10 | Common Stock (40000) | Direct |
| 2019-03-21 | Stock Option (Right to Buy) | $4.1 | M | 40000 | Acquired | 2026-02-18 | Common Stock (40000) | Direct |
Footnotes
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018.
F2: This transaction was executed in multiple trades in prices ranging from $20.53 to $21.13, inclusive. The price report 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.
F3: This transaction was executed in multiple trades in prices ranging from $20.73 to $21.24, inclusive. The price report 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: Option is fully vested and exercisable.
F5: Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020.