CDXS

SEC source: 0001567619-21-005916 · doc1.xml · nonDerivative · entry 2

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,636

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

SEC source: 0001567619-21-005916 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,636

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.

SEC source: 0001567619-21-005915 · doc1.xml · nonDerivative · entry 1

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,565

F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the vesting of the Reporting Person's performance stock units.

SEC source: 0001567619-21-004396 · doc1.xml · derivative · entry 5

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,600

Underlying: Common Stock · 17,600 shares

Expires 2030-02-11

F5 · derivative.exercise_date: On February 11, 2020, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020 with any remaining shares forfeited. On February 16, 2021, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 88% of the target level, which will result in the vesting of the option with respect to 8,800 shares on March 5, 2021 and 8,800 shares on March 5, 2022, in each case subject to the reporting person's continued service to the issuer through such vesting date.

SEC source: 0001567619-21-004396 · doc1.xml · derivative · entry 4

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-02-16

F4 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 16, 2022, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 16, 2025.

SEC source: 0001567619-21-004396 · doc1.xml · nonDerivative · entry 3

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,984

F3 · shares: RSUs vest 1/3 annually from February 16, 2021 such that the RSUs will be fully vested on February 16, 2024. Each RSU represents a contingent right to receive one share of Codexis common stock.

SEC source: 0001567619-21-004396 · doc1.xml · nonDerivative · entry 2

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,984

F2 · kind: Represent shares of common stock issuable pursuant to performance stock units for which achievement has been certified by the Issuer's compensation committee. Shares will be issued in two equal installments on each of March 5, 2021 and March 5, 2022, subject to continued employment through such date.

SEC source: 0001567619-21-004397 · doc1.xml · derivative · entry 2

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 2031-02-16

F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 16, 2022, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 16, 2025.

SEC source: 0001567619-21-004397 · doc1.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,000

Underlying: Common Stock · 198,000 shares

Expires 2030-02-11

F1 · shares: On February 11, 2020, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020 with any remaining shares forfeited. On February 16, 2021, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 88% of the target level, which will result in the vesting of the option with respect to 99,000 shares on March 5, 2021 and 99,000 shares on March 5, 2022, in each case subject to the reporting person's continued service to the issuer through such vesting date.

F1 · derivative.exercise_date: On February 11, 2020, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020 with any remaining shares forfeited. On February 16, 2021, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 88% of the target level, which will result in the vesting of the option with respect to 99,000 shares on March 5, 2021 and 99,000 shares on March 5, 2022, in each case subject to the reporting person's continued service to the issuer through such vesting date.

SEC source: 0001567619-21-004396 · doc1.xml · nonDerivative · entry 1

TAYLOR DEAN ROSS JR · CIK 0001646304 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,904

F1 · kind: Shares withheld by the Issuer on vesting of restricted stock units ("RSUs") solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of the RSUs upon the vesting thereof.

SEC source: 0001567619-21-002118 · doc1.xml · nonDerivative · entry 1

Martinborough Esther · CIK 0001842383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,262

F1 · shares: Restricted Stock. The shares vest as to one third of the shares on each yearly anniversary of the date of grant, provided that the Reporting Person provides continuous services to the Issuer as an employee, consultant, director or officer through each such vesting date.

SEC source: 0001567619-21-001352 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,636

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $24.71 to $25.54, 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.

SEC source: 0001567619-21-001351 · doc1.xml · derivative · entry 6

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2021-02-16

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-21-001351 · doc1.xml · nonDerivative · entry 4

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,790

F1 · kind: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

F3 · price: The transaction was executed in multiple trades in prices ranging from $24.78 to $25.57, 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.

SEC source: 0001567619-21-001351 · doc1.xml · nonDerivative · entry 3

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,790

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-21-001351 · doc1.xml · derivative · entry 5

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2021-02-16

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-21-001351 · doc1.xml · nonDerivative · entry 2

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,790

F1 · kind: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

F2 · price: The transaction was executed in multiple trades in prices ranging from $26.46 to $27.10, 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.

SEC source: 0001567619-21-001351 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,790

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-20-021487 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,129

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 $19.46 to $20.38, 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.

SEC source: 0001567619-20-018143 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,136

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $13.91 to $14.09, 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.

SEC source: 0001567619-20-017752 · doc1.xml · derivative · entry 6

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 25,000 shares

Expires 2021-02-16

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-20-017752 · doc1.xml · nonDerivative · entry 4

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,790

F1 · kind: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

F3 · price: The transaction was executed in multiple trades in prices ranging from $13.32 to $13.77, 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.

SEC source: 0001567619-20-017752 · doc1.xml · nonDerivative · entry 3

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,790

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-20-017752 · doc1.xml · derivative · entry 5

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires 2021-02-16

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-20-017752 · doc1.xml · nonDerivative · entry 2

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,790

F1 · kind: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

F2 · price: The transaction was executed in multiple trades in prices ranging from $12.94 to $13.64, 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.

SEC source: 0001567619-20-017752 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,790

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: The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.

SEC source: 0001567619-20-017140 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,129

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 $11.51 to $11.90, 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.

SEC source: 0001567619-20-014532 · doc1.xml · nonDerivative · entry 1

Aaker Jennifer · CIK 0001820693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,540

F1 · shares: Restricted Stock. The shares vest as to one third of the shares on each yearly anniversary of the date of grant, provided that the Reporting Person provides continuous services to the Issuer as an employee, consultant, director or officer through each such vesting date.

SEC source: 0001567619-20-013632 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,636

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $12.695 to $12.88, 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.

SEC source: 0001567619-20-012620 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,129

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 $10.56 to $11.35, 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.

SEC source: 0001567619-20-012371 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,136

F1 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001567619-20-012369 · doc1.xml · nonDerivative · entry 3

Smith David V · CIK 0001229447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,952

F3 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001567619-20-012368 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,129

F1 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001567619-20-012370 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,790

F1 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001567619-20-012367 · doc1.xml · nonDerivative · entry 1

Yang Patrick Y · CIK 0001309988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,716

F1 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001567619-20-012366 · doc1.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,905

F1 · shares: Restricted stock. The restricted stock vests as to 1/3 of the shares on June 16, 2021, another 1/3 of the shares on June 16, 2022 and the final 1/3 of the shares on June 16, 2023.

SEC source: 0001567619-20-012365 · doc1.xml · nonDerivative · entry 1

DILLY STEPHEN GEORGE · CIK 0001389147 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,905

F1 · shares: Restricted stock. The restricted stock vests as to 1/3 of the shares on June 16, 2021, another 1/3 of the shares on June 16, 2022 and the final 1/3 of the shares on June 16, 2023.

SEC source: 0001567619-20-012199 · doc1.xml · nonDerivative · entry 1

BARUCH THOMAS R · CIK 0001005563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,093

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019.

F2 · price: This transaction was executed in multiple trades in prices ranging from $10.51 to $10.74, 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.

SEC source: 0001567619-20-012369 · 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 11, 2020, the reporting person transferred 4,947 shares of the Issuer's common stock to a family trust of which the reporting person is trustee.

SEC source: 0001567619-20-008314 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,184

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

SEC source: 0001567619-20-007500 · doc1.xml · nonDerivative · entry 2

BARUCH THOMAS R · CIK 0001005563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,040

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019.

F3 · price: This transaction was executed in multiple trades in prices ranging from $10.23 to $10.69, 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.

SEC source: 0001567619-20-007500 · doc1.xml · nonDerivative · entry 1

BARUCH THOMAS R · CIK 0001005563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,540

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019.

F2 · price: This transaction was executed in multiple trades in prices ranging from $10.404 to $11.10, 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.

SEC source: 0001567619-20-007118 · doc1.xml · nonDerivative · entry 2

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,177

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 $10.96 to $11.33, 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.

SEC source: 0001567619-20-007118 · doc1.xml · nonDerivative · entry 1

WOLF DENNIS P · CIK 0001227560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,777

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 $9.94 to $10.74, 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.

SEC source: 0001567619-20-004839 · doc1.xml · nonDerivative · entry 1

Dorgan Byron L · CIK 0001513219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,838

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 12, 2019.

F2 · price: This transaction was executed in multiple trades in prices ranging from $14.00 to $14.07, 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.

SEC source: 0001567619-20-003345 · doc1.xml · derivative · entry 2

TAYLOR DEAN ROSS JR · CIK 0001646304 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-11

F3 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 11, 2021, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2024.

SEC source: 0001567619-20-003345 · doc1.xml · nonDerivative · entry 1

TAYLOR DEAN ROSS JR · CIK 0001646304 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Codexis common stock.

F2 · shares: RSUs vest 1/3 annually from February 11, 2020 such that the RSUs will be fully vested on February 11, 2023.

SEC source: 0001567619-20-003341 · doc1.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-02-11

F3 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 11, 2021, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2024.

SEC source: 0001567619-20-003341 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,600

Underlying: Common Stock · 138,600 shares

Expires 2029-02-20

F2 · shares: On February 20, 2019, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2019 with any remaining shares forfeited. On February 11, 2020, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 84% of the target level, which will result in the vesting of the option with respect to 69,300 shares on March 5, 2020 and 69,300 shares on March 5, 2021, in each case subject to the reporting person's continued service to the issuer through such vesting date.

F2 · derivative.exercise_date: On February 20, 2019, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2019 with any remaining shares forfeited. On February 11, 2020, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 84% of the target level, which will result in the vesting of the option with respect to 69,300 shares on March 5, 2020 and 69,300 shares on March 5, 2021, in each case subject to the reporting person's continued service to the issuer through such vesting date.

SEC source: 0001567619-20-001384 · doc1.xml · nonDerivative · entry 1

KELLEY BERNARD J · CIK 0001181179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,684

F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.