John J. Nicols - 12 Aug 2022 Form 4 Insider Report for CODEXIS, INC. (CDXS)

Role: Director
Signature: /s/ Ross Taylor, as Attorney-in-Fact for John J. Nicols
Issuer symbol: CDXS
Transactions as of: 12 Aug 2022
Net transactions value: -$494,554
Form type: 4
Filing time: 16 Aug 2022, 16:03:31 UTC
Previous filing: 13 May 2022
Next filing: 07 Oct 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	$89,320	+38,500	+3.8%	$2.32	1,061,179	12 Aug 2022	Direct	F1
transaction	CDXS	Common Stock	Sale	$331,774	-38,500	-3.6%	$8.62	1,022,679	12 Aug 2022	Direct	F1, F2
transaction	CDXS	Common Stock	Options Exercise	$90,480	+39,000	+3.8%	$2.32	1,061,679	15 Aug 2022	Direct	F1
transaction	CDXS	Common Stock	Sale	$342,580	-39,000	-3.7%	$8.78	1,022,679	15 Aug 2022	Direct	F1, F3

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	-38,500	-50%	$0.000000	39,000	12 Aug 2022	Common Stock	38,500	$2.32	Direct	F1
transaction	CDXS	Stock Option (Right to Buy)	Options Exercise	$0	-39,000	-100%	$0.000000^*	0	15 Aug 2022	Common Stock	39,000	$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 $8.32 to $8.85, 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 $8.66 to $9.01, 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.