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 |
|---|---|---|---|---|---|---|
| August 12, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 38,500 | $8.62 | $331,773.75 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · nonDerivative · entry 2 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. F2 · price: This transaction was executed in multiple trades in prices ranging from $8.32 to $8.85, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| August 12, 2022 Filed Aug 16, 2022 16:03 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-22-016368 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| May 12, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · derivative · entry 7 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 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 |
| May 12, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 16,409 | $10.61 | $174,178.25 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · nonDerivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F4 · price: This transaction was executed in multiple trades in prices ranging from $10.47 to $10.85, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 12, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 22,091 | $10.09 | $222,942.37 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,039,088 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 $9.47 to $10.46, 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 12, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| May 11, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,000 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 |
| May 11, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 38,500 | $10.31 | $396,754.05 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F2 · price: This transaction was executed in multiple trades in prices ranging from $10.07 to $10.59, 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 11, 2022 Filed May 13, 2022 16:04 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-22-010516 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| March 10, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,500 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 |
| March 10, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 38,500 | $18.93 | $728,716.45 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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 $18.69 to $19.26, 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 10, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| March 09, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,000 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 |
| March 09, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 38,500 | $19.30 | $743,007.65 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F2 · price: This transaction was executed in multiple trades in prices ranging from $18.71 to $19.65, 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 09, 2022 Filed Mar 11, 2022 17:43 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-22-006782 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| February 08, 2022 Filed Feb 9, 2022 21:41 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 200,062 | $0.00 Strike: $26.16 | $0.00 |
DisclosureSEC source: 0001567619-22-003127 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,062 Underlying: Common Stock · 200,062 shares Expires 2031-02-16 F1 · shares: On February 16, 2021, 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, 2021 with any remaining shares forfeited. On February 8, 2022, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 72.75% of the target level, which will result in the vesting of the option with respect to 100,031 shares on March 5, 2022 and 100,031 shares on March 5, 2023, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 16, 2021, 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, 2021 with any remaining shares forfeited. On February 8, 2022, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 72.75% of the target level, which will result in the vesting of the option with respect to 100,031 shares on March 5, 2022 and 100,031 shares on March 5, 2023, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 21:41 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $19.39 | $0.00 |
DisclosureSEC source: 0001567619-22-003127 · doc1.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-02-07 F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 7, 2023, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 7, 2026. Read SEC document |
| November 11, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,500 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · derivative · entry 9 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,500 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 |
| November 11, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 11,327 | $39.07 | $442,588.93 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 7 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F6 · price: This transaction was executed in multiple trades in prices ranging from $38.82 to $39.365, 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 11, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 27,173 | $38.19 | $1,037,606.44 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034,006 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021. F5 · price: This transaction was executed in multiple trades in prices ranging from $37.65 to $38.63, 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 11, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 38,500 | $2.32 | $89,320.00 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,179 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 |
| November 10, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · derivative · entry 8 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2022-06-12 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 |
| November 10, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 19,454 | $40.69 | $791,661.08 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F4 · price: This transaction was executed in multiple trades in prices ranging from $40.395 to $40.86, 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 10, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 14,071 | $39.85 | $560,780.01 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,042,133 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 $39.39 to $40.38, 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 10, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 1,475 | $39.12 | $57,697.43 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,056,204 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021. F2 · price: This transaction was executed in multiple trades in prices ranging from $38.38 to $39.38, 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 10, 2021 Filed Nov 12, 2021 16:21 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,000 | $3.46 | $121,100.00 |
DisclosureSEC source: 0001567619-21-020031 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,679 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 13, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · derivative · entry 7 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2022-06-12 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 13, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,000 | $23.77 | $831,796.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F4 · price: This transaction was executed in multiple trades in prices ranging from $23.53 to $24.12, 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 13, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,000 | $3.46 | $121,100.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,679 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, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 35,000 shares Expires 2022-06-12 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, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 934 | $25.29 | $23,618.53 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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 $25.24 to $25.36, 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 |
| August 12, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 34,066 | $24.51 | $834,927.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,023,613 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021. F2 · price: This transaction was executed in multiple trades in prices ranging from $24.20 to $25.15, 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 |
| August 12, 2021 Filed Aug 16, 2021 16:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,000 | $3.46 | $121,100.00 |
DisclosureSEC source: 0001567619-21-015831 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,679 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 |
| May 18, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · derivative · entry 7 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 35,000 shares Expires 2022-06-12 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 |
| May 18, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 21,123 | $18.93 | $399,877.40 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F4 · price: This transaction was executed in multiple trades in prices ranging from $18.80 to $19.12, 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 18, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 13,877 | $18.56 | $257,582.10 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,043,802 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 $17.80 to $18.79, 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 18, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,000 | $3.46 | $121,100.00 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,679 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 |
| May 17, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,385 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 35,385 shares Expires 2022-06-12 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 |
| May 17, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 35,385 | $18.12 | $641,324.82 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 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. F2 · price: This transaction was executed in multiple trades in prices ranging from $17.76 to $18.50, 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, 2021 Filed May 19, 2021 16:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 35,385 | $3.46 | $122,432.10 |
DisclosureSEC source: 0001567619-21-010722 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,058,064 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 |
| February 16, 2021 Filed Feb 18, 2021 16:12 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $26.16 | $0.00 |
DisclosureSEC source: 0001567619-21-004397 · doc1.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2031-02-16 F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 16, 2022, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 16, 2025. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 16:12 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 198,000 | $0.00 Strike: $14.43 | $0.00 |
DisclosureSEC source: 0001567619-21-004397 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,000 Underlying: Common Stock · 198,000 shares Expires 2030-02-11 F1 · shares: On February 11, 2020, 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, 2020 with any remaining shares forfeited. On February 16, 2021, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 88% of the target level, which will result in the vesting of the option with respect to 99,000 shares on March 5, 2021 and 99,000 shares on March 5, 2022, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 11, 2020, 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, 2020 with any remaining shares forfeited. On February 16, 2021, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 88% of the target level, which will result in the vesting of the option with respect to 99,000 shares on March 5, 2021 and 99,000 shares on March 5, 2022, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 16:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $14.43 | $0.00 |
DisclosureSEC source: 0001567619-20-003341 · doc1.xml · derivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-02-11 F3 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 11, 2021, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 11, 2024. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 16:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 138,600 | $0.00 Strike: $21.80 | $0.00 |
DisclosureSEC source: 0001567619-20-003341 · doc1.xml · derivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,600 Underlying: Common Stock · 138,600 shares Expires 2029-02-20 F2 · shares: On February 20, 2019, 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, 2019 with any remaining shares forfeited. On February 11, 2020, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 84% of the target level, which will result in the vesting of the option with respect to 69,300 shares on March 5, 2020 and 69,300 shares on March 5, 2021, in each case subject to the reporting person's continued service to the issuer through such vesting date. F2 · derivative.exercise_date: On February 20, 2019, 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, 2019 with any remaining shares forfeited. On February 11, 2020, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 84% of the target level, which will result in the vesting of the option with respect to 69,300 shares on March 5, 2020 and 69,300 shares on March 5, 2021, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| September 12, 2019 Filed Feb 13, 2020 16:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-003341 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,022,679 F1 · kind: This transaction involved a gift of securities by the Reporting Person made on September 12, 2019. Read SEC document |
| August 20, 2019 Filed Aug 22, 2019 21:32 UTC | CODEXIS, INC. CDXS · Entity 6428 | PurchaseCommon Stock | 10,000 | $13.30 | $133,000.00 |
DisclosureSEC source: 0001567619-19-017500 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,082,679 F1 · kind: Given the reporting person's sale of (i) 15,072 shares of CDXS common stock in a transaction that was executed in multiple trades in prices ranging from $20.90 to $21.34, inclusive, on March 18, 2019 and (ii) 40,000 shares of CDXS common stock in a transaction that was executed in multiple trades in prices ranging from $20.62 to $20.94, inclusive, on March 19, 2019, this purchase transaction is subject to the short-swing provisions under Section 16(b) of the Securities Exchange Act of 1934. Accordingly, the reporting person has agreed to pay to CDXS, $76,736.90 representing the full amount of profit realized in connection with this short-swing transaction, less transaction costs. Read SEC document |
| August 20, 2019 Filed Aug 22, 2019 21:32 UTC | CODEXIS, INC. CDXS · Entity 6428 | PurchaseCommon Stock | 10,000 | $13.30 | $133,000.00 |
DisclosureSEC source: 0001567619-19-017501 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,082,679 F1 · kind: Given the reporting person's sale of (i) 15,072 shares of CDXS common stock in a transaction that was executed in multiple trades in prices ranging from $20.90 to $21.34, inclusive, on March 18, 2019 and (ii) 40,000 shares of CDXS common stock in a transaction that was executed in multiple trades in prices ranging from $20.62 to $20.94, inclusive, on March 19, 2019, this purchase transaction is subject to the short-swing provisions under Section 16(b) of the Securities Exchange Act of 1934. Accordingly, the reporting person has agreed to pay to CDXS, $76,736.90 representing the full amount of profit realized in connection with this short-swing transaction, less transaction costs. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,385 Underlying: Common Stock · 40,000 shares Expires 2022-06-12 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 November 29, 2017. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $20.79 | $831,504.00 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $20.62 to $20.94, 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 19, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.46 | $138,400.00 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,679 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 November 29, 2017. 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.