Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | See Remarks | May 17, 2018 | May 18, 2018 |
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 17, 2018 · Filed May 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2018-05-17 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-05-17 · Exercise / conversion · Acquired 22,000 · Balance 22,000 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. Row 2 · 2018-05-17 · Sale · Disposed 22,000 · Balance 0 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2: This transaction was executed in multiple trades in prices ranging from $13.30 to $14.10, 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.37 · Expires 2026-10-15 | Direct | 206,000 |
Reported balance
After 2018-05-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-05-17 · Exercise / conversion · Disposed 22,000 · Balance 206,000 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017.
F2: This transaction was executed in multiple trades in prices ranging from $13.30 to $14.10, 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.
F3: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date.
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 17, 2018 Filed May 18, 2018 17:54 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · derivative · entry 3 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,000 Underlying: Common Stock · 22,000 shares Expires 2026-10-15 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 December 8, 2017. F3 · derivative.exercise_date: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:54 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 22,000 | $13.54 | $297,864.60 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · nonDerivative · entry 2 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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 $13.30 to $14.10, 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 |
| May 17, 2018 Filed May 18, 2018 17:54 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 22,000 | $4.37 | $96,140.00 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · nonDerivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 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 December 8, 2017. Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · derivative · entry 3 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,000 Underlying: Common Stock · 22,000 shares Expires 2026-10-15 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 December 8, 2017. F3 · derivative.exercise_date: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 22,000 | $12.91 | $283,945.20 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · nonDerivative · entry 2 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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 $12.775 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 15, 2018 Filed May 16, 2018 20:59 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 22,000 | $4.37 | $96,140.00 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · nonDerivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 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 December 8, 2017. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:27 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009671 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 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 20:43 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009973 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 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 17:00 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 167,750 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005616 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 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 |
| February 03, 2017 Filed Feb 7, 2017 20:26 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Options (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-17-004967 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 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 |
| October 16, 2016 Filed Oct 18, 2016 19:45 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001140361-16-083020 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2026-10-15 F1 · derivative.exercise_date: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting 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.