John Nicols - Nov 10, 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
Stock symbol
CDXS
Transactions as of
Nov 10, 2021
Transactions value $
-$2,679,914
Form type
4
Date filed
11/12/2021, 03:21 PM
Previous filing
Aug 16, 2021
Next filing
Feb 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CDXS Common Stock Options Exercise $121K +35K +3.42% $3.46 1.06M Nov 10, 2021 Direct F1
transaction CDXS Common Stock Sale -$57.7K -1.48K -0.14% $39.12* 1.06M Nov 10, 2021 Direct F1, F2
transaction CDXS Common Stock Sale -$561K -14.1K -1.33% $39.85* 1.04M Nov 10, 2021 Direct F1, F3
transaction CDXS Common Stock Sale -$792K -19.5K -1.87% $40.69* 1.02M Nov 10, 2021 Direct F1, F4
transaction CDXS Common Stock Options Exercise $89.3K +38.5K +3.76% $2.32 1.06M Nov 11, 2021 Direct F1
transaction CDXS Common Stock Sale -$1.04M -27.2K -2.56% $38.19* 1.03M Nov 11, 2021 Direct F1, F5
transaction CDXS Common Stock Sale -$443K -11.3K -1.1% $39.07* 1.02M Nov 11, 2021 Direct F1, F6

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 -35K -100% $0.00* 0 Nov 10, 2021 Common Stock 35K $3.46 Direct F1
transaction CDXS Stock Option (Right to Buy) Options Exercise $0 -38.5K -14.26% $0.00 232K Nov 11, 2021 Common Stock 38.5K $2.32 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 $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.