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 |
|---|---|---|---|---|---|---|
| March 18, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,072 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,385 Underlying: Common Stock · 15,072 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 18, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 15,072 | $20.95 | $315,716.20 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $20.90 to $21.34, 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 18, 2019 Filed Mar 20, 2019 17:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 15,072 | $3.46 | $52,149.12 |
DisclosureSEC source: 0001567619-19-007317 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,087,751 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 |
| February 20, 2019 Filed Feb 22, 2019 20:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $21.80 | $0.00 |
DisclosureSEC source: 0001567619-19-005300 · 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 2029-02-20 F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2020, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2023. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 20:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 383,500 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001567619-19-005300 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,500 Underlying: Common Stock · 383,500 shares Expires 2028-02-20 F1 · shares: On February 20, 2018, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2018 with any remaining shares forfeited. On February 20, 2019, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 118% of the target level, which will result in the vesting of the option with respect to 191,750 shares on March 5, 2019 and 191,750 shares on March 5, 2020, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 20, 2018, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2018 with any remaining shares forfeited. On February 20, 2019, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 118% of the target level, which will result in the vesting of the option with respect to 191,750 shares on March 5, 2019 and 191,750 shares on March 5, 2020, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| December 07, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-007639 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,457 Underlying: Common Stock · 3,812 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 |
| December 07, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 3,812 | $22.09 | $84,209.37 |
DisclosureSEC source: 0001567619-18-007639 · 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 $22.05 to $22.20, 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 07, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 3,812 | $3.46 | $13,189.52 |
DisclosureSEC source: 0001567619-18-007639 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,076,491 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 |
| December 06, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-007639 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,269 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 |
| December 06, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $21.75 | $869,832.00 |
DisclosureSEC source: 0001567619-18-007639 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $21.70 to $21.98, 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 06, 2018 Filed Dec 10, 2018 17:36 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.46 | $138,400.00 |
DisclosureSEC source: 0001567619-18-007639 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,679 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 |
| September 28, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · derivative · entry 7 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,269 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. F5 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 28, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 40,000 | $17.43 | $697,324.00 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · nonDerivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F4 · price: This transaction was executed in multiple trades in prices ranging from $17.05 to $17.90, 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 |
| September 28, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.46 | $138,400.00 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,679 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 |
| September 27, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 314,269 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. F5 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 27, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,100 | $18.68 | $132,595.34 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 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 $18.35 to $19.125, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 27, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 32,900 | $17.50 | $575,753.29 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,779 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $17.275 to $18.20, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 27, 2018 Filed Oct 1, 2018 21:52 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 40,000 | $3.46 | $138,400.00 |
DisclosureSEC source: 0001567619-18-003426 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,679 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 |
| August 15, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,400 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-001317 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,269 Underlying: Common Stock · 2,400 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. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 2,400 | $14.90 | $35,760.48 |
DisclosureSEC source: 0001567619-18-001317 · 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 $14.85 to $14.95, 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, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 2,400 | $3.46 | $8,304.00 |
DisclosureSEC source: 0001567619-18-001317 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,075,079 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 |
| August 14, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,859 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001567619-18-001317 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,669 Underlying: Common Stock · 11,859 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. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 11,859 | $15.19 | $180,179.72 |
DisclosureSEC source: 0001567619-18-001317 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $15.15 to $15.35, 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 14, 2018 Filed Aug 16, 2018 17:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 11,859 | $3.46 | $41,032.14 |
DisclosureSEC source: 0001567619-18-001317 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,084,538 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 |
| June 11, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,800 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-028276 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,528 Underlying: Common Stock · 1,800 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 |
| June 11, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 1,800 | $14.48 | $26,055.00 |
DisclosureSEC source: 0001140361-18-028276 · 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 $14.40 to $14.55, 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 |
| June 11, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 1,800 | $3.46 | $6,228.00 |
DisclosureSEC source: 0001140361-18-028276 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,074,479 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 |
| June 08, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,207 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-028276 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,328 Underlying: Common Stock · 7,207 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 |
| June 08, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 7,207 | $15.35 | $110,644.75 |
DisclosureSEC source: 0001140361-18-028276 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $15.30 to $15.50, 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 |
| June 08, 2018 Filed Jun 12, 2018 19:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 7,207 | $3.46 | $24,936.22 |
DisclosureSEC source: 0001140361-18-028276 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,886 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 |
| March 23, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 16,154 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,535 Underlying: Common Stock · 16,154 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 23, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 16,154 | $11.43 | $184,654.76 |
DisclosureSEC source: 0001140361-18-014862 · 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 $11.35 to $11.60, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| March 23, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 16,154 | $3.46 | $55,892.84 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,088,833 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 |
| March 22, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,311 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,689 Underlying: Common Stock · 6,311 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 22, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,311 | $11.91 | $75,173.48 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $11.90 to $12.00, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | Exercise / conversionCommon Stock | 6,311 | $3.46 | $21,836.06 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,078,990 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 |
| March 05, 2018 Filed Mar 7, 2018 18:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 92,175 | $10.90 | $1,004,707.50 |
DisclosureSEC source: 0001140361-18-012510 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:26 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009669 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 20, 2018 Filed Feb 23, 2018 20:45 UTC Amendment | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009975 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 16:58 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 671,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005611 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,000 Underlying: Common Stock · 671,000 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 335,500 shares on March 5, 2018 and 335,500 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 335,500 shares on March 5, 2018 and 335,500 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| March 05, 2017 Filed Mar 7, 2017 17:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 149,119 | $4.15 | $618,843.85 |
DisclosureSEC source: 0001140361-17-010917 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,164,854 F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 18:45 UTC | CODEXIS, INC. CDXS · Entity 6428 | Tax withholdingCommon Stock | 8,554 | $4.35 | $37,209.90 |
DisclosureSEC source: 0001140361-17-007513 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,313,973 F1 · kind: Shares withheld by the Issuer on vesting of restricted stock units ("RSUs") solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of the RSUs upon the vesting thereof. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 20:24 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 220,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-17-004965 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires 2027-02-03 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 3, 2018, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 3, 2021. Read SEC document |
| January 16, 2017 Filed Feb 14, 2017 18:44 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 421,208 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-007511 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,322,527 F1 · kind: Represents shares of common stock issuable pursuant to performance stock units for which achievement has been certified by the Issuer's compensation committee. Shares will be issued in two equal installments on each of March 5, 2017 and March 5, 2018, subject to continued employment through such date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.