John J. Nicols - 17 Apr 2023 Form 4 Insider Report for CODEXIS, INC. (CDXS)

Reporting relationship: Director
Issuer ticker: CDXS
Reported as of: 17 Apr 2023
Net transaction value: -$158,538
SEC form: 4
Accepted by SEC: 19 Apr 2023, 16:18:46 UTC
Prior SEC filing: 17 Mar 2023
Next SEC filing: 31 Jul 2024
Source filing: View source filing
Reporting owner signature: /s/ Sriram Ryali, as Attorney-in-Fact for John J. Nicols

Key filing fact

John J. Nicols filed Form 4 for CODEXIS, INC. (CDXS) on 19 Apr 2023.

Key facts

This page summarizes John J. Nicols's Form 4 filing for CODEXIS, INC. (CDXS).
6 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 19 Apr 2023, 16:18.

Change

Previous filing in this sequence was filed on 17 Mar 2023.
Current net transaction value: -$158,538.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CDXS transaction

Common Stock

Options Exercise

Transaction value: $70,357
Shares: +35,714
Change %: +4.6%
Price: $1.97
Shares after: 819,679
Date: 17 Apr 2023
Ownership: Direct
Footnotes: F1

CDXS transaction

Common Stock

Sale

Transaction value: $151,377
Shares: -35,714
Change %: -4.4%
Price: $4.24
Shares after: 783,965
Date: 17 Apr 2023
Ownership: Direct
Footnotes: F1, F2

CDXS transaction

Common Stock

Options Exercise

Transaction value: $70,357
Shares: +35,714
Change %: +4.6%
Price: $1.97
Shares after: 819,679
Date: 18 Apr 2023
Ownership: Direct
Footnotes: F1

CDXS transaction

Common Stock

Sale

Transaction value: $147,874
Shares: -35,714
Change %: -4.4%
Price: $4.14
Shares after: 783,965
Date: 18 Apr 2023
Ownership: Direct
Footnotes: F1, F3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CDXS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -35,714
Change %: -17%
Price: $0.000000
Shares after: 178,570
Date: 17 Apr 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 35,714
Exercise price: $1.97
Footnotes: F1

CDXS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -35,714
Change %: -20%
Price: $0.000000
Shares after: 142,856
Date: 18 Apr 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 35,714
Exercise price: $1.97
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Rule 10b5-1 trading plan

These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.

Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).

Explanation of responses 3 footnotes

Footnote F1

Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022.

Footnote F2

This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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.

Footnote F3

This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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.