JOHN NICOLS - 15 Mar 2023 Form 4 Insider Report for CODEXIS, INC. (CDXS)

Role
Director
Signature
/s/ Sriram Ryali, as Attorney-in-Fact for John J. Nicols
Issuer symbol
CDXS
Transactions as of
15 Mar 2023
Net transactions value
-$152,099
Form type
4
Filing time
17 Mar 2023, 16:29:02 UTC
Previous filing
27 Feb 2023
Next filing
19 Apr 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 Options Exercise $70,357 +35,714 +4.6% $1.97 819,679 15 Mar 2023 Direct F1
transaction CDXS Common Stock Sale $146,131 -35,714 -4.4% $4.09 783,965 15 Mar 2023 Direct F1, F2
transaction CDXS Common Stock Options Exercise $70,357 +35,714 +4.6% $1.97 819,679 16 Mar 2023 Direct F1
transaction CDXS Common Stock Sale $146,681 -35,714 -4.4% $4.11 783,965 16 Mar 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 -12% $0.000000 249,998 15 Mar 2023 Common Stock 35,714 $1.97 Direct F1
transaction CDXS Stock Option (Right to Buy) Options Exercise $0 -35,714 -14% $0.000000 214,284 16 Mar 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 $4.02 to $4.15, 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 $4.01 to $4.195, 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.