John J. Nicols - 23 Jan 2023 Form 4 Insider Report for CODEXIS, INC. (CDXS)

Role
Director
Signature
/s/ Richard Sabalot, as Attorney-in-Fact for John J. Nicols
Issuer symbol
CDXS
Transactions as of
23 Jan 2023
Net transactions value
-$420,580
Form type
4
Filing time
25 Jan 2023, 15:13:03 UTC
Previous filing
13 Dec 2022
Next filing
27 Feb 2023
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 $261,642 -39,785 -4.6% $6.58 823,750 23 Jan 2023 Direct F1, F2
transaction CDXS Common Stock Options Exercise $70,357 +35,714 +4.3% $1.97 859,464 24 Jan 2023 Direct F1
transaction CDXS Common Stock Sale $229,295 -35,714 -4.2% $6.42 823,750 24 Jan 2023 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 -35,714 -10% $0.000000 321,426 24 Jan 2023 Common Stock 35,714 $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 $6.44 to $6.84, 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 $6.27 to $6.72, 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.