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CODEXIS, INC. — Director's Dealing 2021
Jan 21, 2021
33607_dirs_2021-01-21_63c8f7fb-fb24-4564-a57f-0c9e86837fbe.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: 2021-01-20
Reporting Person: Dorgan Byron L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-20 | Common Stock | M | 25000 | $10.63 | Acquired | 187790 | Direct |
| 2021-01-20 | Common Stock | S | 25000 | $26.7463 | Disposed | 162790 | Direct |
| 2021-01-21 | Common Stock | M | 25000 | $10.63 | Acquired | 187790 | Direct |
| 2021-01-21 | Common Stock | S | 25000 | $25.1678 | Disposed | 162790 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-20 | Stock Option (Right to Buy) | $10.63 | M | 25000 | Disposed | 2021-02-16 | Common Stock (25000) | Direct |
| 2021-01-21 | 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 $26.46 to $27.10, 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 $24.78 to $25.57, 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.