CODEXIS, INC. — Director's Dealing 2021

Aug 16, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CODEXIS, INC. (CDXS)
CIK: 0001200375
Period of Report: 2021-08-12

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-12	Common Stock	M	35000	$3.46	Acquired	1057679	Direct
2021-08-12	Common Stock	S	34066	$24.5091	Disposed	1023613	Direct
2021-08-12	Common Stock	S	934	$25.2875	Disposed	1022679	Direct
2021-08-13	Common Stock	M	35000	$3.46	Acquired	1057679	Direct
2021-08-13	Common Stock	S	35000	$23.7656	Disposed	1022679	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-12	Stock Option (Right to Buy)	$3.46	M	35000	Disposed	2022-06-12	Common Stock (35000)	Direct
2021-08-13	Stock Option (Right to Buy)	$3.46	M	35000	Disposed	2022-06-12	Common Stock (35000)	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 $24.20 to $25.15, 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 $25.24 to $25.36, 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 $23.53 to $24.12, 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.