CODEXIS, INC. — Director's Dealing 2019

Mar 20, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CODEXIS INC (CDXS)
CIK: 0001200375
Period of Report: 2019-03-18

Reporting Person: NICOLS JOHN J (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-03-18	Common Stock	M	15072	$3.46	Acquired	1087751	Direct
2019-03-18	Common Stock	S	15072	$20.9472	Disposed	1072679	Direct
2019-03-19	Common Stock	M	40000	$3.46	Acquired	1112679	Direct
2019-03-19	Common Stock	S	40000	$20.7876	Disposed	1072679	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-03-18	Stock Option (Right to Buy)	$3.46	M	15072	Disposed	2022-06-12	Common Stock (15072)	Direct
2019-03-19	Stock Option (Right to Buy)	$3.46	M	40000	Disposed	2022-06-12	Common Stock (40000)	Direct

Footnotes

F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017.

F2: This transaction was executed in multiple trades in prices ranging from $20.90 to $21.34, inclusive. 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.

F3: This transaction was executed in multiple trades in prices ranging from $20.62 to $20.94, inclusive. 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: The option is fully vested and exercisable.