Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | Director | June 12, 2020 | June 16, 2020 |
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 June 12, 2020 · Filed June 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,093 |
Reported balance
After 2020-06-12 transaction · row 1
1 source rowRow 1 · 2020-06-12 · Sale · Disposed 4,947 · Balance 33,093 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019. F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019.
F2: 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.
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 |
|---|---|---|---|---|---|---|
| June 12, 2020 Filed Jun 16, 2020 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 4,947 | $10.61 | $52,464.42 |
DisclosureSEC 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. Read SEC document |
| April 02, 2020 Filed Apr 3, 2020 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,500 | $10.52 | $78,865.50 |
DisclosureSEC 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. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,500 | $10.88 | $81,576.00 |
DisclosureSEC 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. Read SEC document |
| January 16, 2020 Filed Jan 17, 2020 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,000 | $18.61 | $186,090.00 |
DisclosureSEC source: 0001567619-20-001239 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,040 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.51 to $18.72, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,000 | $18.68 | $186,816.00 |
DisclosureSEC source: 0001567619-20-001239 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,040 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.522 to $18.83, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 16:10 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 17,500 | $15.59 | $272,891.50 |
DisclosureSEC source: 0001567619-19-022979 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,040 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.43 to $15.76, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 10, 2019 Filed Dec 12, 2019 16:10 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 17,500 | $15.61 | $273,236.25 |
DisclosureSEC source: 0001567619-19-022979 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,540 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.46 to $15.74, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 16:10 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 4,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-013331 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,040 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 28, 2018 Filed Dec 31, 2018 19:14 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $15.98 | $199,725.00 |
DisclosureSEC source: 0001567619-18-008827 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,093 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.70 to $16.34, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 19:14 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $16.09 | $201,076.25 |
DisclosureSEC source: 0001567619-18-008827 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,593 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.75 to $16.275, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 19:42 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 3,900 | $18.72 | $72,991.62 |
DisclosureSEC source: 0001567619-18-003291 · doc1.xml · nonDerivative · entry 3 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,093 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.40 to $19.125, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 19:42 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 8,600 | $17.78 | $152,912.30 |
DisclosureSEC source: 0001567619-18-003291 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,993 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.40 to $18.375, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 19:42 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $19.00 | $237,488.75 |
DisclosureSEC source: 0001567619-18-003291 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,593 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.85 to $19.225, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 18:01 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $14.38 | $179,775.00 |
DisclosureSEC source: 0001140361-18-030191 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,093 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.10 to $14.525, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 18:01 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $15.48 | $193,550.00 |
DisclosureSEC source: 0001140361-18-030191 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,593 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.15 to $15.70, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 11, 2018 Filed Jun 12, 2018 21:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 5,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-028295 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,093 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 29, 2018 Filed Mar 30, 2018 11:56 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $11.06 | $138,195.00 |
DisclosureSEC source: 0001140361-18-016106 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,170 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.80 to $11.20, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 28, 2018 Filed Mar 30, 2018 11:56 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,500 | $11.05 | $138,122.50 |
DisclosureSEC source: 0001140361-18-016106 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,670 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.85 to $11.2001, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 18:49 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025421 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,170 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.