Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | Director | August 10, 2021 | August 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CODEXIS, INC.
Report date August 10, 2021 · Filed August 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 206,136 |
Ending reported balance
After 2021-08-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-08-10 · Exercise / conversion · Disposed 20,000 · Balance 226,136 Row 2 · 2021-08-10 · Sale · Disposed 20,000 · Balance 206,136 F1: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.62 · Expires 2022-06-05 | Direct | 0 |
Reported balance
After 2021-08-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-08-10 · Exercise / conversion · Disposed 20,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 10, 2021 Filed Aug 12, 2021 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.62 | $0.00 |
DisclosureSEC 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 | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 20,000 | $25.84 | $516,820.00 |
DisclosureSEC 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 | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 20,000 | $3.62 | $72,400.00 |
DisclosureSEC 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 |
| April 21, 2021 Filed Apr 22, 2021 16:12 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $22.64 | $56,608.25 |
DisclosureSEC 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. Read SEC document |
| March 08, 2021 Filed Mar 9, 2021 16:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $10.51 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 08, 2021 Filed Mar 9, 2021 16:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 20,000 | $18.72 | $374,350.00 |
DisclosureSEC 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. Read SEC document |
| March 08, 2021 Filed Mar 9, 2021 16:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 20,000 | $10.51 | $210,200.00 |
DisclosureSEC 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. Read SEC document |
| January 21, 2021 Filed Jan 21, 2021 19:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $24.98 | $62,438.75 |
DisclosureSEC 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. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $14.00 | $35,006.75 |
DisclosureSEC 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. Read SEC document |
| July 21, 2020 Filed Jul 23, 2020 16:16 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $12.79 | $31,965.25 |
DisclosureSEC 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. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 16:15 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 8,952 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 21, 2020 Filed Apr 23, 2020 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $10.58 | $26,450.00 |
DisclosureSEC 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. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 17:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,500 | $18.00 | $45,000.00 |
DisclosureSEC 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. Read SEC document |
| September 06, 2019 Filed Sep 6, 2019 19:39 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 16,666 | $0.00 Strike: $10.92 | $0.00 |
DisclosureSEC source: 0001567619-19-018012 · 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 · 16,666 shares Expires 2020-02-11 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. F2 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable. Read SEC document |
| September 06, 2019 Filed Sep 6, 2019 19:39 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 14,684 | $13.87 | $203,677.36 |
DisclosureSEC source: 0001567619-19-018012 · doc1.xml · nonDerivative · entry 2 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,184 F1 · price: This transaction was executed in multiple trades in prices ranging from $13.76 to $14.03, inclusive. The price reported in Column 4 above reflects the weighted average sales 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 06, 2019 Filed Sep 6, 2019 19:39 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 16,666 | $10.92 | $181,992.72 |
DisclosureSEC source: 0001567619-19-018012 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,868 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 11, 2019 Filed Jun 13, 2019 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 4,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-013336 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,202 F1 · shares: Restricted stock. The shares vest on the earlier of June 11, 2020 or the date of the Issuer's 2020 annual meeting of stockholders. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 17:15 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 804 | $17.41 | $13,997.40 |
DisclosureSEC source: 0001567619-18-008592 · doc1.xml · nonDerivative · entry 2 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,255 F2 · price: This transaction was executed in multiple trades in prices ranging from $17.32 to $17.50, inclusive. The price reported in Column 4 above reflects the weighted average sales 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 21, 2018 Filed Dec 26, 2018 17:15 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 9,402 | $16.95 | $159,318.77 |
DisclosureSEC source: 0001567619-18-008592 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,059 F1 · price: This transaction was executed in multiple trades in prices ranging from $16.27 to $17.25, inclusive. The price reported in Column 4 above reflects the weighted average sales 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 21, 2018 Filed Sep 25, 2018 21:19 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,207 | $18.12 | $184,959.01 |
DisclosureSEC source: 0001567619-18-003114 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,461 F1 · price: This transaction was executed in multiple trades in prices ranging from $17.75 to $18.40, inclusive. The price reported in Column 4 above reflects the weighted average sales 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 30, 2018 Filed Sep 4, 2018 21:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 16,666 | $0.00 Strike: $7.46 | $0.00 |
DisclosureSEC source: 0001567619-18-002090 · 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 · 16,666 shares Expires 2019-06-02 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. F2 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 21:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 16,666 | $17.15 | $285,780.24 |
DisclosureSEC source: 0001567619-18-002090 · doc1.xml · nonDerivative · entry 2 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,668 F1 · price: This transaction was executed in multiple trades in prices ranging from $16.925 to $17.40, inclusive. The price reported in Column 4 above reflects the weighted average sales 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 30, 2018 Filed Sep 4, 2018 21:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 16,666 | $7.46 | $124,328.36 |
DisclosureSEC source: 0001567619-18-002090 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,334 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 21, 2018 Filed Jun 22, 2018 18:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,206 | $16.58 | $169,255.28 |
DisclosureSEC source: 0001140361-18-029652 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,668 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $16.35 to $16.75, 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 |
| June 11, 2018 Filed Jun 12, 2018 21:01 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 5,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-028290 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,874 F1 · shares: Restricted stock. The shares vest on the earlier of June 11, 2019 or the date of the Issuer's 2019 annual meeting of stockholders. Read SEC document |
| March 21, 2018 Filed Mar 22, 2018 18:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,206 | $12.22 | $124,682.62 |
DisclosureSEC source: 0001140361-18-014690 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,951 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $11.85 to $12.40, 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 |
| June 14, 2017 Filed Jun 16, 2017 18:47 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025418 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,157 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.