John J. Nicols - 27 Oct 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
27 Oct 2022
Net transactions value
-$353,209
Form type
4
Filing time
31 Oct 2022, 17:16:14 UTC
Previous filing
07 Oct 2022
Next filing
17 Nov 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 Sale $225,921 -39,786 -4% $5.68 943,106 27 Oct 2022 Direct F1, F2
transaction CDXS Common Stock Options Exercise $70,361 +35,716 +3.8% $1.97 978,822 28 Oct 2022 Direct F1
transaction CDXS Common Stock Sale $197,649 -35,716 -3.6% $5.53 943,106 28 Oct 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 -35,716 -7.7% $0.000000 428,568 28 Oct 2022 Common Stock 35,716 $1.97 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 August 31, 2022.
F2 This transaction was executed in multiple trades in prices ranging from $5.58 to $5.88, 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 $5.40 to $5.66, 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.