Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | Director | April 17, 2023 | April 19, 2023 |
| SCIENTIFIC INDUSTRIES INCSCND · Entity 8003 | Director | February 17, 2026 | March 17, 2026 |
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 April 17, 2023 · Filed April 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 783,965 |
Ending reported balance
After 2023-04-18 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2023-04-17 · Exercise / conversion · Acquired 35,714 · Balance 819,679 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. Row 2 · 2023-04-17 · Sale · Disposed 35,714 · Balance 783,965 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2: This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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. Row 3 · 2023-04-18 · Exercise / conversion · Acquired 35,714 · Balance 819,679 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. Row 4 · 2023-04-18 · Sale · Disposed 35,714 · Balance 783,965 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3: This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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 $1.97 · Expires 2024-02-24 | Direct | 178,570 |
Reported balance
After 2023-04-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-04-17 · Exercise / conversion · Disposed 35,714 · Balance 178,570 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2024-02-24 | Direct | 142,856 |
Reported balance
After 2023-04-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-04-18 · Exercise / conversion · Disposed 35,714 · Balance 142,856 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022.
F2: This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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: This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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.
SCIENTIFIC INDUSTRIES INC
Report date February 17, 2026 · Filed March 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2036-02-17 | Direct | 255,778 |
Reported balance
After 2026-02-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-02-17 · Grant · Acquired 120,000 · Balance 255,778 F1: On 2/17/26 Registrant was awarded stock options in lieu of cash fees. Vesting 1 Year - 1/12th per month. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2036-02-17 | Direct | 275,778 |
Reported balance
After 2026-02-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-02-17 · Grant · Acquired 20,000 · Balance 275,778 F1: On 2/17/26 Registrant was awarded stock options in lieu of cash fees. Vesting 1 Year - 1/12th per month. |
Filing footnotes · ownership attribution and instrument terms
F1: On 2/17/26 Registrant was awarded stock options in lieu of cash fees. Vesting 1 Year - 1/12th per month.
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 |
|---|---|---|---|---|---|---|
| February 17, 2026 Filed Mar 17, 2026 18:46 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantStock Option · Derivative | 20,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001238884-26-000001 · primary_doc.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 275,778 Underlying: Common Stock · 20,000 shares Expires 2036-02-17 F1 · derivative.exercise_date: On 2/17/26 Registrant was awarded stock options in lieu of cash fees. Vesting 1 Year - 1/12th per month. Read SEC document |
| February 17, 2026 Filed Mar 17, 2026 18:46 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantStock Option · Derivative | 120,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001238884-26-000001 · primary_doc.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 255,778 Underlying: Common Stock · 120,000 shares Expires 2036-02-17 F1 · derivative.exercise_date: On 2/17/26 Registrant was awarded stock options in lieu of cash fees. Vesting 1 Year - 1/12th per month. Read SEC document |
| August 20, 2025 Filed Oct 6, 2025 16:27 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantCommon Stock | 15,000 | $1.00 | $15,000.00 |
DisclosureSEC source: 0001238884-25-000005 · primary_doc.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,778 F1 · price: On August 20, 2025 15,000 warrants for 15,000 shares of the Company's common stock were exercised at $1.00 per share. Read SEC document |
| April 18, 2025 Filed May 15, 2025 20:46 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | PurchaseWarrant to Purchase Common Stock · Derivative | 15,000 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001238884-25-000001 · primary_doc.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,778 Underlying: Common Stock · 15,000 shares Expires 2025-10-18 F1 · price: On April 18, 2025 Registrant purchased from Scientific Industries, Inc. (the "Issuer") for an aggregate purchase price of $15,000, 15,000 shares of Common Stock and warrants to acquire 15,000 shares of Common Stock at an exercise price of $1.00 per share. Read SEC document |
| April 18, 2025 Filed May 15, 2025 20:46 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | PurchaseCommon Stock | 15,000 | $1.00 | $15,000.00 |
DisclosureSEC source: 0001238884-25-000001 · primary_doc.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| July 01, 2024 Filed Aug 2, 2024 20:26 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantOption to Purchase Common Stock · Derivative | 5,000 | $0.00 Strike: $1.29 | $0.00 |
DisclosureSEC source: 0001238884-24-000005 · primary_doc.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,778 Underlying: Common Stock · 5,000 shares Expires 2034-07-01 Read SEC document |
| July 01, 2024 Filed Aug 2, 2024 20:26 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantOption to Purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $1.29 | $0.00 |
DisclosureSEC source: 0001238884-24-000005 · primary_doc.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,778 Underlying: Common Stock · 10,000 shares Expires 2034-07-01 Read SEC document |
| April 01, 2024 Filed Jul 31, 2024 21:27 UTC | SCIENTIFIC INDUSTRIES INC SCND · Entity 8003 | GrantOption to Purchase Common Stock · Derivative | 10,778 | Not disclosed Strike: $2.50 | Not disclosed |
DisclosureSEC source: 0001238884-24-000004 · primary_doc.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,778 Underlying: Common Stock · 10,778 shares Expires 2034-04-01 F1 · price: On April 1, 2024 the Reporting Person and the Issuer entered into an agreement to elect to be paid for Reporting Person's fees as a Board Director in stock options in lieu of cash compensation. These options vest in twelve (12) monthly installments commencing on April 1, 2024 through April 1, 2025. F1 · derivative.exercise_date: On April 1, 2024 the Reporting Person and the Issuer entered into an agreement to elect to be paid for Reporting Person's fees as a Board Director in stock options in lieu of cash compensation. These options vest in twelve (12) monthly installments commencing on April 1, 2024 through April 1, 2025. Read SEC document |
| December 13, 2023 Filed Jul 31, 2024 20:55 UTC | SCIENTIFIC INDUSTRIES INC scnd · Entity 8003 | PurchaseWarrant to Purchase Common Stock · Derivative | 15,000 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001238884-24-000003 · primary_doc.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 15,000 shares Expires 2028-12-13 Read SEC document |
| December 13, 2023 Filed Jul 31, 2024 20:55 UTC | SCIENTIFIC INDUSTRIES INC scnd · Entity 8003 | PurchaseCommon Stock | 15,000 | $2.00 | $30,000.00 |
DisclosureSEC source: 0001238884-24-000003 · primary_doc.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| April 18, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 142,856 Underlying: Common Stock · 35,714 shares Expires 2024-02-24 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 August 31, 2022. Read SEC document |
| April 18, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $4.14 | $147,873.82 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $4.055 to $4.36, 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 18, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 819,679 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 August 31, 2022. Read SEC document |
| April 17, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 178,570 Underlying: Common Stock · 35,714 shares Expires 2024-02-24 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 August 31, 2022. Read SEC document |
| April 17, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $4.24 | $151,377.36 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $4.08 to $4.36, 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 17, 2023 Filed Apr 19, 2023 16:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001610717-23-000016 · form4.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 819,679 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 August 31, 2022. Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,284 Underlying: Common Stock · 35,714 shares Expires 2024-02-24 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 August 31, 2022. Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $4.11 | $146,680.97 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $4.01 to $4.195, 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 16, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,679 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 August 31, 2022. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,998 Underlying: Common Stock · 35,714 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $4.09 | $146,130.97 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $4.02 to $4.15, 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 15, 2023 Filed Mar 17, 2023 16:29 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-23-005259 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,679 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 August 31, 2022. Read SEC document |
| February 24, 2023 Filed Feb 27, 2023 16:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-23-003845 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,712 Underlying: Common Stock · 35,714 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| February 24, 2023 Filed Feb 27, 2023 16:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $4.83 | $172,652.19 |
DisclosureSEC source: 0001567619-23-003845 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $4.505 to $5.39, 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 |
| February 24, 2023 Filed Feb 27, 2023 16:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-23-003845 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,679 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 August 31, 2022. Read SEC document |
| February 23, 2023 Filed Feb 27, 2023 16:08 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,785 | $5.36 | $213,219.75 |
DisclosureSEC source: 0001567619-23-003845 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $5.23 to $5.56, 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 24, 2023 Filed Jan 25, 2023 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-23-001271 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,426 Underlying: Common Stock · 35,714 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| January 24, 2023 Filed Jan 25, 2023 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $6.42 | $229,294.59 |
DisclosureSEC source: 0001567619-23-001271 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 823,750 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $6.27 to $6.72, 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 24, 2023 Filed Jan 25, 2023 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-23-001271 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,464 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 August 31, 2022. Read SEC document |
| January 23, 2023 Filed Jan 25, 2023 16:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,785 | $6.58 | $261,642.07 |
DisclosureSEC source: 0001567619-23-001271 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 823,750 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $6.44 to $6.84, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 16:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-22-021536 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,140 Underlying: Common Stock · 35,714 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 16:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $5.68 | $202,819.81 |
DisclosureSEC source: 0001567619-22-021536 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,535 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $5.565 to $5.815, 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 |
| December 12, 2022 Filed Dec 13, 2022 16:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-22-021536 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 899,249 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 August 31, 2022. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 16:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,785 | $5.66 | $224,996.11 |
DisclosureSEC source: 0001567619-22-021536 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,535 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $5.555 to $5.90, 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 16, 2022 Filed Nov 17, 2022 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,714 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-22-020552 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,854 Underlying: Common Stock · 35,714 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| November 16, 2022 Filed Nov 17, 2022 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,714 | $6.36 | $227,312.47 |
DisclosureSEC source: 0001567619-22-020552 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 903,320 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $6.175 to $6.68, 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 16, 2022 Filed Nov 17, 2022 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,714 | $1.97 | $70,356.58 |
DisclosureSEC source: 0001567619-22-020552 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 939,034 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 August 31, 2022. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,786 | $6.79 | $270,238.45 |
DisclosureSEC source: 0001567619-22-020552 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 903,320 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $6.64 to $6.87, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 28, 2022 Filed Oct 31, 2022 17:16 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,716 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-22-018951 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,568 Underlying: Common Stock · 35,716 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| October 28, 2022 Filed Oct 31, 2022 17:16 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,716 | $5.53 | $197,648.77 |
DisclosureSEC source: 0001567619-22-018951 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,106 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $5.40 to $5.66, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 28, 2022 Filed Oct 31, 2022 17:16 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,716 | $1.97 | $70,360.52 |
DisclosureSEC source: 0001567619-22-018951 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978,822 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 August 31, 2022. Read SEC document |
| October 27, 2022 Filed Oct 31, 2022 17:16 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,786 | $5.68 | $225,920.82 |
DisclosureSEC source: 0001567619-22-018951 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,106 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $5.58 to $5.88, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 06, 2022 Filed Oct 7, 2022 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,716 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001567619-22-018358 · doc1.xml · derivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 464,284 Underlying: Common Stock · 35,716 shares Expires 2024-02-23 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 August 31, 2022. Read SEC document |
| October 06, 2022 Filed Oct 7, 2022 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,716 | $5.99 | $214,099.56 |
DisclosureSEC source: 0001567619-22-018358 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 982,892 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F3 · price: This transaction was executed in multiple trades in prices ranging from $5.91 to $6.19, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 06, 2022 Filed Oct 7, 2022 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,716 | $1.97 | $70,360.52 |
DisclosureSEC source: 0001567619-22-018358 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,018,608 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 August 31, 2022. Read SEC document |
| October 05, 2022 Filed Oct 7, 2022 16:07 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,787 | $6.04 | $240,134.44 |
DisclosureSEC source: 0001567619-22-018358 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 982,892 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 31, 2022. F2 · price: This transaction was executed in multiple trades in prices ranging from $5.925 to $6.40, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| August 15, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 39,000 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,000 shares Expires 2023-01-24 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 March 5, 2021. Read SEC document |
| August 15, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 39,000 | $8.78 | $342,579.90 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,022,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021. F3 · price: This transaction was executed in multiple trades in prices ranging from $8.66 to $9.01, 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 |
| August 15, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 39,000 | $2.32 | $90,480.00 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,679 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 March 5, 2021. Read SEC document |
| August 12, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,000 Underlying: Common Stock · 38,500 shares Expires 2023-01-24 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 March 5, 2021. 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.