0001567619-20-012199.txt : 20200616 0001567619-20-012199.hdr.sgml : 20200616 20200616160350 ACCESSION NUMBER: 0001567619-20-012199 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200612 FILED AS OF DATE: 20200616 DATE AS OF CHANGE: 20200616 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BARUCH THOMAS R CENTRAL INDEX KEY: 0001005563 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 20966384 MAIL ADDRESS: STREET 1: 1 LETTERMAN DRIVE STREET 2: BUILDING C, SUITE CM500 CITY: SAN FRANCISCO STATE: CA ZIP: 94129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CODEXIS, INC. CENTRAL INDEX KEY: 0001200375 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 710872999 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-421-8100 MAIL ADDRESS: STREET 1: 200 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: CODEXIS INC DATE OF NAME CHANGE: 20021022 4 1 doc1.xml FORM 4 X0306 4 2020-06-12 0 0001200375 CODEXIS, INC. CDXS 0001005563 BARUCH THOMAS R C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 1 0 0 0 Common Stock 2020-06-12 4 S 0 4947 10.6053 D 33093 D Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 9, 2019. This transaction was executed in multiple trades in prices ranging from $10.51 to $10.74, 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. /s/ Ross Taylor, Attorney-in-Fact for Thomas R. Baruch 2020-06-16