Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | SVP & Chief Financial Officer | March 20, 2019 | March 22, 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 March 20, 2019 · Filed March 22, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 134,453 |
Ending reported balance
After 2019-03-21 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2019-03-20 · Exercise / conversion · Acquired 40,000 · Balance 174,453 Row 2 · 2019-03-20 · Sale · Disposed 40,000 · Balance 134,453 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F2: This transaction was executed in multiple trades in prices ranging from $20.53 to $21.13, inclusive. The price report 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. Row 3 · 2019-03-21 · Exercise / conversion · Acquired 40,000 · Balance 174,453 Row 4 · 2019-03-21 · Sale · Disposed 40,000 · Balance 134,453 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F3: This transaction was executed in multiple trades in prices ranging from $20.73 to $21.24, inclusive. The price report 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 $3.39 · Expires 2025-02-10 | Direct | 18,000 |
Reported balance
After 2019-03-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-03-20 · Exercise / conversion · Acquired 40,000 · Balance 18,000 F4: Option is fully vested and exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.10 · Expires 2026-02-18 | Direct | 83,000 |
Reported balance
After 2019-03-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-03-21 · Exercise / conversion · Acquired 40,000 · Balance 83,000 F5: Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018.
F2: This transaction was executed in multiple trades in prices ranging from $20.53 to $21.13, inclusive. The price report 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.
F3: This transaction was executed in multiple trades in prices ranging from $20.73 to $21.24, inclusive. The price report 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.
F4: Option is fully vested and exercisable.
F5: Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020.
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 |
|---|---|---|---|---|---|---|
| March 21, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · derivative · entry 6 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,000 Underlying: Common Stock · 40,000 shares Expires 2026-02-18 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. F5 · derivative.exercise_date: Option currently vests monthly, such that the option will be fully vested and exercisable on February 19, 2020. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $20.91 | $836,204.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · nonDerivative · entry 4 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F1 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F3 · price: This transaction was executed in multiple trades in prices ranging from $20.73 to $21.24, inclusive. The price report 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 21, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $4.10 | $164,000.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · nonDerivative · entry 3 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 |
| March 20, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.39 | $0.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · derivative · entry 5 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 40,000 shares Expires 2025-02-10 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. F4 · derivative.exercise_date: Option is fully vested and exercisable. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $20.85 | $834,012.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · nonDerivative · entry 2 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F1 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F2 · price: This transaction was executed in multiple trades in prices ranging from $20.53 to $21.13, inclusive. The price report 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 20, 2019 Filed Mar 22, 2019 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.39 | $135,600.00 |
DisclosureSEC source: 0001567619-19-007501 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 |
| February 20, 2019 Filed Feb 22, 2019 20:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $21.80 | $0.00 |
DisclosureSEC source: 0001567619-19-005298 · doc1.xml · derivative · entry 2 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 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 22, 2019 20:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 112,100 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001567619-19-005298 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,100 Underlying: Common Stock · 112,100 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 56,050 shares on March 5, 2019 and 56,050 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 56,050 shares on March 5, 2019 and 56,050 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 |
| January 25, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.39 | $0.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · derivative · entry 6 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,000 Underlying: Common Stock · 40,000 shares Expires 2025-02-10 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. F4 · derivative.exercise_date: Option vests with respect to 25% of the shares subject on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019. Read SEC document |
| January 25, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $17.11 | $684,236.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · nonDerivative · entry 4 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F1 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F3 · price: This transaction was executed in multiple trades in prices ranging from $16.81 to $17.24, inclusive. The price report 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 25, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.39 | $135,600.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · nonDerivative · entry 3 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 |
| January 24, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $3.39 | $0.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · derivative · entry 5 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,000 Underlying: Common Stock · 35,000 shares Expires 2025-02-10 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. F4 · derivative.exercise_date: Option vests with respect to 25% of the shares subject on February 11, 2016, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2019. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,000 | $16.74 | $585,942.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · nonDerivative · entry 2 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F1 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F2 · price: This transaction was executed in multiple trades in prices ranging from $16.46 to $16.88, inclusive. The price report 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 24, 2019 Filed Jan 28, 2019 18:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,000 | $3.39 | $118,650.00 |
DisclosureSEC source: 0001567619-19-001794 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,453 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 |
| October 03, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · derivative · entry 7 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 40,000 shares Expires 2024-08-18 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 |
| October 03, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 26,442 | $17.30 | $457,507.42 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · nonDerivative · entry 5 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F2 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F5 · price: This transaction was executed in multiple trades in prices ranging from $17.00 to $17.63, inclusive. The price report 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 03, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 13,558 | $16.74 | $227,008.37 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · nonDerivative · entry 4 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,895 F2 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F4 · price: This transaction was executed in multiple trades in prices ranging from $16.52 to $16.995, inclusive. The price report 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 03, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $17.11 | $684,516.00 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · nonDerivative · entry 3 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 |
| October 03, 2018 Filed Jan 28, 2019 17:58 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $2.45 | $98,000.00 |
DisclosureSEC source: 0001567619-19-001793 · doc1.xml · nonDerivative · entry 2 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 · price: This Form 4 amendment has been filed solely to correct the price of securities acquired as shown in Table I, column 4 of the original Form 4 Read SEC document |
| October 02, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · derivative · entry 6 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 40,000 shares Expires 2024-08-18 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 |
| October 02, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $16.76 | $670,476.00 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · nonDerivative · entry 2 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F2 · shares: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 28, 2018. F3 · price: This transaction was executed in multiple trades in prices ranging from $16.46 to $17.00, inclusive. The price report 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 02, 2018 Filed Oct 4, 2018 18:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $16.76 | $670,476.00 |
DisclosureSEC source: 0001567619-18-003723 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 |
| October 02, 2018 Filed Jan 28, 2019 17:58 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $2.45 | $98,000.00 |
DisclosureSEC source: 0001567619-19-001793 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,453 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 · price: This Form 4 amendment has been filed solely to correct the price of securities acquired as shown in Table I, column 4 of the original Form 4 Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 17:19 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 18,736 | $15.31 | $286,906.24 |
DisclosureSEC source: 0001567619-18-001745 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,453 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $15.15 to $15.675, 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 24, 2018 Filed May 25, 2018 17:38 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 18,736 | $14.11 | $264,306.88 |
DisclosureSEC source: 0001140361-18-025771 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,189 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $13.90 to $14.175, 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 18:19 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 18,497 | $10.90 | $201,617.30 |
DisclosureSEC source: 0001140361-18-012511 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,925 F1 · kind: Shares withheld by the Issuer on vesting of restricted 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 restricted stock units. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009667 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 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 23, 2018 20:46 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009976 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 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 17:01 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 167,750 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005618 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,750 Underlying: Common Stock · 167,750 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 83,875 shares on March 5, 2018 and 83,875 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 83,875 shares on March 5, 2018 and 83,875 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 |
| August 18, 2017 Filed Aug 22, 2017 17:56 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 6,264 | $5.45 | $34,138.80 |
DisclosureSEC source: 0001140361-17-033029 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,422 F1 · kind: Shares withheld by the Issuer on vesting of restricted 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 restricted stock units. Read SEC document |
| March 05, 2017 Filed Mar 7, 2017 17:19 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 34,847 | $4.15 | $144,615.05 |
DisclosureSEC source: 0001140361-17-010915 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,686 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 03, 2017 Filed Feb 7, 2017 20:25 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Options (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-17-004966 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 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 18:42 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 105,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-007509 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,533 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.