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CODEXIS, INC. — Director's Dealing 2023
Apr 19, 2023
33607_dirs_2023-04-19_7abed1f7-496b-4905-8688-9c8a886d7b69.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: 2023-04-17
Reporting Person: NICOLS JOHN J (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-04-17 | Common Stock | M | 35714 | $1.97 | Acquired | 819679 | Direct |
| 2023-04-17 | Common Stock | S | 35714 | $4.2386 | Disposed | 783965 | Direct |
| 2023-04-18 | Common Stock | M | 35714 | $1.97 | Acquired | 819679 | Direct |
| 2023-04-18 | Common Stock | S | 35714 | $4.1405 | Disposed | 783965 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-04-17 | Stock Option (Right to Buy) | $1.97 | M | 35714 | Disposed | 2024-02-24 | Common Stock (35714) | Direct |
| 2023-04-18 | Stock Option (Right to Buy) | $1.97 | M | 35714 | Disposed | 2024-02-24 | Common Stock (35714) | Direct |
Footnotes
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022.
F2: This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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.
F3: This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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.