CODEXIS, INC. — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CODEXIS, INC. (CDXS)
CIK: 0001200375
Period of Report: 2021-11-10

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-10	Common Stock	M	35000	$3.46	Acquired	1057679	Direct
2021-11-10	Common Stock	S	1475	$39.1169	Disposed	1056204	Direct
2021-11-10	Common Stock	S	14071	$39.8536	Disposed	1042133	Direct
2021-11-10	Common Stock	S	19454	$40.6940	Disposed	1022679	Direct
2021-11-11	Common Stock	M	38500	$2.32	Acquired	1061179	Direct
2021-11-11	Common Stock	S	27173	$38.1852	Disposed	1034006	Direct
2021-11-11	Common Stock	S	11327	$39.0738	Disposed	1022679	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-10	Stock Option (Right to Buy)	$3.46	M	35000	Disposed	2022-06-12	Common Stock (35000)	Direct
2021-11-11	Stock Option (Right to Buy)	$2.32	M	38500	Disposed	2023-01-24	Common Stock (38500)	Direct

Footnotes

F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F2: This transaction was executed in multiple trades in prices ranging from $38.38 to $39.38, 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 $39.39 to $40.38, 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: This transaction was executed in multiple trades in prices ranging from $40.395 to $40.86, 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.

F5: This transaction was executed in multiple trades in prices ranging from $37.65 to $38.63, 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.

F6: This transaction was executed in multiple trades in prices ranging from $38.82 to $39.365, 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.