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CODEXIS, INC. — Director's Dealing 2020
Oct 13, 2020
33607_dirs_2020-10-13_983d8f45-423e-4f89-b1a2-c72a63d7d143.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: 2020-10-08
Reporting Person: Dorgan Byron L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-10-08 | Common Stock | M | 25000 | $10.63 | Acquired | 187790 | Direct |
| 2020-10-08 | Common Stock | S | 25000 | $13.4926 | Disposed | 162790 | Direct |
| 2020-10-09 | Common Stock | M | 25000 | $10.63 | Acquired | 187790 | Direct |
| 2020-10-09 | Common Stock | S | 25000 | $13.5411 | Disposed | 162790 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-10-08 | Stock Option (Right to Buy) | $10.63 | M | 25000 | Disposed | 2021-02-16 | Common Stock (25000) | Direct |
| 2020-10-09 | Stock Option (Right to Buy) | $10.63 | M | 25000 | Disposed | 2021-02-16 | Common Stock (25000) | Direct |
Footnotes
F1: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.
F2: The transaction was executed in multiple trades in prices ranging from $12.94 to $13.64, 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: The transaction was executed in multiple trades in prices ranging from $13.32 to $13.77, 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.