Tapewire

Nasdaq · USD

CDXS

CODEXIS, INC.

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Tapewire entity
6428
SEC CIK
0001200375
Parsed reports
315

Last 12 months

Inside the activity.

0 purchase rows · 37 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025025
Dec 202504
Jan 202601
Feb 202604
Mar 202600
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202602

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 20, 2021 Filed Dec 21, 2021 16:28 UTC SaleCommon Stock 2,596 $28.43 $73,801.68
Disclosure

SEC source: 0001567619-21-022399 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,329

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: This transaction was executed in multiple trades in prices ranging from $27.92 to $28.78, 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.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 21:05 UTC SaleCommon Stock 200 $32.14 $6,428.00
Disclosure

SEC source: 0001567619-21-022019 · doc1.xml · nonDerivative · entry 2

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,512

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 12, 2021.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 21:05 UTC SaleCommon Stock 7,800 $31.59 $246,391.86
Disclosure

SEC source: 0001567619-21-022019 · doc1.xml · nonDerivative · entry 1

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,712

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 12, 2021.

F2 · price: The shares were sold in multiple transactions at per share prices ranging from $31.09 to $31.95. 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.

Read SEC document
November 11, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 38,500 $0.00 Strike: $2.32 $0.00
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · derivative · entry 9

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,500

Underlying: Common Stock · 38,500 shares

Expires 2023-01-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
November 11, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 11,327 $39.07 $442,588.93
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 7

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F6 · price: This transaction was executed in multiple trades in prices ranging from $38.82 to $39.365, 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.

Read SEC document
November 11, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 27,173 $38.19 $1,037,606.44
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 6

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,034,006

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F5 · price: This transaction was executed in multiple trades in prices ranging from $37.65 to $38.63, 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.

Read SEC document
November 11, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 38,500 $2.32 $89,320.00
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 5

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,061,179

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $3.46 $0.00
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · derivative · entry 8

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2022-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 19,454 $40.69 $791,661.08
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 4

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F4 · price: This transaction was executed in multiple trades in prices ranging from $40.395 to $40.86, 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.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 14,071 $39.85 $560,780.01
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 3

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,042,133

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F3 · price: This transaction was executed in multiple trades in prices ranging from $39.39 to $40.38, 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.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 1,475 $39.12 $57,697.43
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 2

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,056,204

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $38.38 to $39.38, 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.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 16:21 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 35,000 $3.46 $121,100.00
Disclosure

SEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 1

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,057,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
October 18, 2021 Filed Oct 19, 2021 20:22 UTC SaleCommon Stock 2,600 $28.53 $74,178.00
Disclosure

SEC source: 0001567619-21-018452 · doc1.xml · nonDerivative · entry 2

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,586

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 15, 2021.

Read SEC document
October 18, 2021 Filed Oct 19, 2021 20:22 UTC SaleCommon Stock 17,400 $27.86 $484,683.96
Disclosure

SEC source: 0001567619-21-018452 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,186

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 15, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $27.31 to $28.24, 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.

Read SEC document
October 15, 2021 Filed Oct 18, 2021 16:07 UTC SaleCommon Stock 100 $28.78 $2,878.00
Disclosure

SEC source: 0001567619-21-018391 · doc1.xml · nonDerivative · entry 2

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,925

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
October 15, 2021 Filed Oct 18, 2021 16:07 UTC SaleCommon Stock 5,900 $28.30 $166,940.50
Disclosure

SEC source: 0001567619-21-018391 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,025

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: This transaction was executed in multiple trades in prices ranging from $27.75 to $28.69, 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.

Read SEC document
September 15, 2021 Filed Jan 14, 2022 21:05 UTC GiftCommon Stock 4,000 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-001195 · doc1.xml · nonDerivative · entry 1

Smith David V · CIK 0001229447 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 72,501

F1 · shares: This transaction involved a gift of securities by the Reporting Person made on September 15, 2021.

F2 · ownership.nature: Shares held by The Smith Family Trust.

Read SEC document
August 13, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $3.46 $0.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · derivative · entry 7

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2022-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
August 13, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 35,000 $23.77 $831,796.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 5

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F4 · price: This transaction was executed in multiple trades in prices ranging from $23.53 to $24.12, 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.

Read SEC document
August 13, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 35,000 $3.46 $121,100.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 4

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,057,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $3.46 $0.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · derivative · entry 6

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 35,000 shares

Expires 2022-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 934 $25.29 $23,618.53
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 3

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F3 · price: This transaction was executed in multiple trades in prices ranging from $25.24 to $25.36, 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.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 34,066 $24.51 $834,927.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 2

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,023,613

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $24.20 to $25.15, 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.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 16:06 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 35,000 $3.46 $121,100.00
Disclosure

SEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 1

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,057,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 16:13 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $3.62 $0.00
Disclosure

SEC source: 0001567619-21-015262 · doc1.xml · derivative · entry 3

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-06-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 16:13 UTC SaleCommon Stock 20,000 $25.84 $516,820.00
Disclosure

SEC source: 0001567619-21-015262 · doc1.xml · nonDerivative · entry 2

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,136

F1 · price: The shares were sold in multiple transactions at per share prices ranging from $25.545 to $26.21. 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.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 16:13 UTC Exercise / conversionCommon Stock 20,000 $3.62 $72,400.00
Disclosure

SEC source: 0001567619-21-015262 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,136

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 16, 2021 Filed Jun 17, 2021 20:20 UTC SaleCommon Stock 20,000 $20.31 $406,186.00
Disclosure

SEC source: 0001567619-21-012326 · doc1.xml · nonDerivative · entry 2

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,512

F2 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 3, 2021.

F3 · price: The shares were sold in multiple transactions at per share prices ranging from $19.70 to $20.65. 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.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:17 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012322 · doc1.xml · nonDerivative · entry 3

Smith David V · CIK 0001229447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,796

F3 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:17 UTC GiftCommon Stock 8,952 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012322 · doc1.xml · nonDerivative · entry 1

Smith David V · CIK 0001229447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 15, 2021, the reporting person transferred 8,952 shares of the Issuer's common stock to a family trust of which the reporting person is trustee.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 16:18 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012323 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,925

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:20 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012328 · doc1.xml · nonDerivative · entry 1

DILLY STEPHEN GEORGE · CIK 0001389147 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,701

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:20 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012326 · doc1.xml · nonDerivative · entry 1

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,512

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:19 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012325 · doc1.xml · nonDerivative · entry 1

Aaker Jennifer · CIK 0001820693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,336

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:16 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012319 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,586

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:19 UTC GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012324 · doc1.xml · nonDerivative · entry 1

Martinborough Esther · CIK 0001842383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,058

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 20:15 UTC
MOORE ALISONDirector
GrantCommon Stock 4,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012318 · doc1.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,701

F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.

Read SEC document
May 18, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $3.46 $0.00
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · derivative · entry 7

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 35,000 shares

Expires 2022-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

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May 18, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 21,123 $18.93 $399,877.40
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 5

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F4 · price: This transaction was executed in multiple trades in prices ranging from $18.80 to $19.12, 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.

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May 18, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 13,877 $18.56 $257,582.10
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 4

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,802

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F3 · price: This transaction was executed in multiple trades in prices ranging from $17.80 to $18.79, 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.

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May 18, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 35,000 $3.46 $121,100.00
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 3

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,057,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

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May 17, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 35,385 $0.00 Strike: $3.46 $0.00
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · derivative · entry 6

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 35,385 shares

Expires 2022-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

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May 17, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
SaleCommon Stock 35,385 $18.12 $641,324.82
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 2

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,679

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $17.76 to $18.50, 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.

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May 17, 2021 Filed May 19, 2021 16:11 UTC
NICOLS JOHN JDirector · President and CEO
Exercise / conversionCommon Stock 35,385 $3.46 $122,432.10
Disclosure

SEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 1

NICOLS JOHN J · CIK 0001238884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,058,064

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

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April 21, 2021 Filed Apr 22, 2021 16:12 UTC SaleCommon Stock 2,500 $22.64 $56,608.25
Disclosure

SEC source: 0001567619-21-008473 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,136

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 10, 2019.

F2 · price: The transaction was executed in multiple trades in prices ranging from $22.51 to $22.84, 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.

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April 06, 2021 Filed Apr 7, 2021 20:48 UTC SaleCommon Stock 10,000 $25.15 $251,547.00
Disclosure

SEC source: 0001567619-21-007769 · doc1.xml · nonDerivative · entry 2

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,716

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 3, 2021.

F3 · price: The shares were sold in multiple transactions at per share prices ranging from $24.977 to $25.50. 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.

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April 05, 2021 Filed Apr 7, 2021 20:48 UTC SaleCommon Stock 10,000 $24.27 $242,732.00
Disclosure

SEC source: 0001567619-21-007769 · doc1.xml · nonDerivative · entry 1

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,716

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 3, 2021.

F2 · price: The shares were sold in multiple transactions at per share prices ranging from $24.07 to $24.52. 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.

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March 25, 2021 Filed Mar 29, 2021 16:07 UTC SaleCommon Stock 4,858 $20.82 $101,161.05
Disclosure

SEC source: 0001567619-21-007124 · doc1.xml · nonDerivative · entry 2

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,129

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 20, 2019.

F3 · price: This transaction was executed in multiple trades in prices ranging from $20.56 to $21.07, 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.

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March 25, 2021 Filed Mar 29, 2021 16:07 UTC SaleCommon Stock 5,142 $20.07 $103,189.66
Disclosure

SEC source: 0001567619-21-007124 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,987

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 20, 2019.

F2 · price: This transaction was executed in multiple trades in prices ranging from $19.55 to $20.54, 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.

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March 08, 2021 Filed Mar 9, 2021 16:20 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $10.51 $0.00
Disclosure

SEC source: 0001567619-21-005916 · doc1.xml · derivative · entry 3

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2021-06-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 10, 2019.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.