Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | SVP, R&D | May 13, 2019 | May 15, 2019 |
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 May 13, 2019 · Filed May 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 151,023 |
Reported balance
After 2019-05-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-05-13 · Exercise / conversion · Acquired 17,621 · Balance 151,023 F1: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. |
| Common StockSEC Table I · non-derivative | Direct | 133,402 |
Reported balance
After 2019-05-13 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2019-05-13 · Sale · Disposed 17,621 · Balance 133,402 F1: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F2: This transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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 with the range set forth in this footnote. |
| Common StockSEC Table I · non-derivative | Direct | 135,780 |
Reported balance
After 2019-05-14 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2019-05-14 · Exercise / conversion · Acquired 2,378 · Balance 135,780 F3: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. |
| Common StockSEC Table I · non-derivative | Direct | 133,402 |
Reported balance
After 2019-05-14 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2019-05-14 · Sale · Disposed 2,378 · Balance 133,402 F3: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F4: This transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with the range set forth in this footnote. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.46 | Direct | 2,378 |
Reported balance
After 2019-05-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-05-13 · Exercise / conversion · Disposed 17,621 · Balance 2,378 F1: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F5: The option is fully vested and exercisable. F6: The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019. F3: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.46 | Direct | 0 |
Reported balance
After 2019-05-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-05-14 · Exercise / conversion · Disposed 2,378 · Balance 0 F3: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F5: The option is fully vested and exercisable. F6: The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
F2: This transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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 with the range set forth in this footnote.
F3: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
F4: This transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with the range set forth in this footnote.
F5: The option is fully vested and exercisable.
F6: The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019.
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 |
|---|---|---|---|---|---|---|
| May 14, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,378 | $0.00 Strike: $7.46 | $0.00 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · derivative · entry 6 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,378 shares Expires not disclosed 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. F3 · shares: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F5 · derivative.exercise_date: The option is fully vested and exercisable. F6 · derivative.expiration_date: The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019. F3 · derivative.underlying_shares: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. Read SEC document |
| May 14, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,378 | $18.95 | $45,059.53 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · nonDerivative · entry 4 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,402 F3 · shares: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F4 · price: This transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with the range set forth in this footnote. Read SEC document |
| May 14, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 2,378 | $7.46 | $17,739.88 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · nonDerivative · entry 3 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,780 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. F3 · shares: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F3 · balance_after: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 17,621 | $0.00 Strike: $7.46 | $0.00 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · derivative · entry 5 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,378 Underlying: Common Stock · 17,621 shares Expires not disclosed 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 · shares: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F5 · derivative.exercise_date: The option is fully vested and exercisable. F6 · derivative.expiration_date: The option was exercised by the Reporting Person ahead of its expiration on June 1, 2019. F1 · derivative.underlying_shares: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F3 · balance_after: Includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 17,621 | $18.61 | $327,955.00 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,402 F1 · shares: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F2 · price: This transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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 with the range set forth in this footnote. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:23 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 17,621 | $7.46 | $131,452.66 |
DisclosureSEC source: 0001567619-19-011235 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,023 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 · shares: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. F1 · balance_after: Includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. The shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 23,000 | $0.00 Strike: $21.80 | $0.00 |
DisclosureSEC source: 0001567619-19-005299 · doc1.xml · derivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires 2029-02-20 F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2020, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2023. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 100,300 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001567619-19-005299 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,300 Underlying: Common Stock · 100,300 shares Expires 2028-02-20 F1 · shares: On February 20, 2018, 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, 2018 with any remaining shares forfeited. On February 20, 2019, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 118% of the target level, which will result in the vesting of the option with respect to 50,150 shares on March 5, 2019 and 50,150 shares on March 5, 2020, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 20, 2018, 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, 2018 with any remaining shares forfeited. On February 20, 2019, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 118% of the target level, which will result in the vesting of the option with respect to 50,150 shares on March 5, 2019 and 50,150 shares on March 5, 2020, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:41 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 8,957 | $21.69 | $194,304.20 |
DisclosureSEC source: 0001567619-19-003799 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,402 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $21.55 to $21.85, 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 with the range set forth in this footnote. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 21:41 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 8,958 | $21.57 | $193,257.20 |
DisclosureSEC source: 0001567619-19-003799 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,359 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $21.41 to $21.75, 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 with the range set forth in this footnote. Read SEC document |
| November 13, 2018 Filed Nov 15, 2018 00:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,726 | $15.22 | $102,395.28 |
DisclosureSEC source: 0001567619-18-006405 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,317 F2 · price: This transaction as executed in multiple trades in prices ranging from $14.91 to $15.48, 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 12, 2018 Filed Nov 15, 2018 00:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,727 | $15.57 | $104,715.85 |
DisclosureSEC source: 0001567619-18-006405 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,043 F1 · price: This transaction was executed in multiple trades in prices ranging from $15.34 to $15.875, 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 with the range set forth in this footnote. Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 21:17 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 12,381 | $17.35 | $214,848.73 |
DisclosureSEC source: 0001567619-18-002205 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,770 F2 · price: This transaction as executed in multiple trades in prices ranging from $17.00 to $17.60, 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 04, 2018 Filed Sep 6, 2018 21:17 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 17,915 | $17.16 | $307,347.95 |
DisclosureSEC source: 0001567619-18-002205 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,151 F1 · price: This transaction was executed in multiple trades in prices ranging from $16.95 to $17.30, 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 with the range set forth in this footnote. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 22:22 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,500 | $15.27 | $114,552.75 |
DisclosureSEC source: 0001140361-18-032817 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,066 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $14.90 to $15.425, 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 16, 2018 Filed Jul 18, 2018 22:22 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,500 | $15.53 | $116,457.00 |
DisclosureSEC source: 0001140361-18-032817 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,566 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $15.35 to $15.70, 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 |
| May 15, 2018 Filed May 15, 2018 23:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,000 | $12.90 | $129,030.00 |
DisclosureSEC source: 0001140361-18-024057 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,066 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $12.775 to $13.125, 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 |
| May 14, 2018 Filed May 15, 2018 23:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 10,000 | $13.09 | $130,900.00 |
DisclosureSEC source: 0001140361-18-024057 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,066 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $12.95 to $13.25, 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 05, 2018 Filed Mar 7, 2018 23:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 11,920 | $10.90 | $129,928.00 |
DisclosureSEC source: 0001140361-18-012509 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,066 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 release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 23:26 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009670 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 20, 2018 Filed Feb 24, 2018 01:44 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009974 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 21:59 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 147,620 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005612 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,620 Underlying: Common Stock · 147,620 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, 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, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 73,810 shares on March 5, 2018 and 73,810 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, 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, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 73,810 shares on March 5, 2018 and 73,810 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| March 05, 2017 Filed Mar 7, 2017 22:19 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 20,630 | $4.15 | $85,614.50 |
DisclosureSEC source: 0001140361-17-010913 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,986 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 release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 23:44 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 2,404 | $4.35 | $10,457.40 |
DisclosureSEC source: 0001140361-17-007512 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,616 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. Read SEC document |
| February 03, 2017 Filed Feb 8, 2017 01:27 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Options (Right to Buy) · Derivative | 110,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-17-004968 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires 2027-02-03 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 3, 2018, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 3, 2021. Read SEC document |
| January 16, 2017 Filed Feb 14, 2017 23:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 66,881 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-007510 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,020 F1 · kind: Represents 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, 2017 and March 5, 2018, subject to continued employment through such date. Read SEC document |
| January 05, 2017 Filed Jan 9, 2017 22:53 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,666 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC source: 0001140361-17-001259 · doc1.xml · derivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,666 shares Expires 2017-01-25 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 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| January 05, 2017 Filed Jan 9, 2017 22:53 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 6,666 | $2.45 | $16,331.70 |
DisclosureSEC source: 0001140361-17-001259 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,139 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.