John J. Nicols - 10 Nov 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
10 Nov 2021
Net transactions value
-$2,679,914
Form type
4
Filing time
12 Nov 2021, 15:21:54 UTC
Previous filing
16 Aug 2021
Next filing
09 Feb 2022
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 $121,100 +35,000 +3.4% $3.46 1,057,679 10 Nov 2021 Direct F1
transaction CDXS Common Stock Sale $57,697 -1,475 -0.14% $39.12* 1,056,204 10 Nov 2021 Direct F1, F2
transaction CDXS Common Stock Sale $560,780 -14,071 -1.3% $39.85* 1,042,133 10 Nov 2021 Direct F1, F3
transaction CDXS Common Stock Sale $791,661 -19,454 -1.9% $40.69* 1,022,679 10 Nov 2021 Direct F1, F4
transaction CDXS Common Stock Options Exercise $89,320 +38,500 +3.8% $2.32 1,061,179 11 Nov 2021 Direct F1
transaction CDXS Common Stock Sale $1,037,606 -27,173 -2.6% $38.19* 1,034,006 11 Nov 2021 Direct F1, F5
transaction CDXS Common Stock Sale $442,589 -11,327 -1.1% $39.07* 1,022,679 11 Nov 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 -35,000 -100% $0.000000* 0 10 Nov 2021 Common Stock 35,000 $3.46 Direct F1
transaction CDXS Stock Option (Right to Buy) Options Exercise $0 -38,500 -14% $0.000000 231,500 11 Nov 2021 Common Stock 38,500 $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.