John J. Nicols - 17 May 2021 Form 4 Insider Report for CODEXIS, INC. (CDXS)

Role
President and CEO, Director
Signature
/s/ Ross Taylor, as Attorney-in-Fact for John J. Nicols
Issuer symbol
CDXS
Transactions as of
17 May 2021
Net transactions value
-$1,055,252
Form type
4
Filing time
19 May 2021, 16:11:33 UTC
Next filing
16 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CDXS Common Stock Options Exercise $122,432 +35,385 +3.5% $3.46 1,058,064 17 May 2021 Direct F1
transaction CDXS Common Stock Sale $641,325 -35,385 -3.3% $18.12* 1,022,679 17 May 2021 Direct F1, F2
transaction CDXS Common Stock Options Exercise $121,100 +35,000 +3.4% $3.46 1,057,679 18 May 2021 Direct F1
transaction CDXS Common Stock Sale $257,582 -13,877 -1.3% $18.56* 1,043,802 18 May 2021 Direct F1, F3
transaction CDXS Common Stock Sale $399,877 -21,123 -2% $18.93* 1,022,679 18 May 2021 Direct F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CDXS Stock Option (Right to Buy) Options Exercise $0 -35,385 -20% $0.000000 140,000 17 May 2021 Common Stock 35,385 $3.46 Direct F1
transaction CDXS Stock Option (Right to Buy) Options Exercise $0 -35,000 -25% $0.000000 105,000 18 May 2021 Common Stock 35,000 $3.46 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 $17.76 to $18.50, 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 $17.80 to $18.79, 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 $18.80 to $19.12, 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.