0001200375-11-000004.txt : 20110520 0001200375-11-000004.hdr.sgml : 20110520 20110520181656 ACCESSION NUMBER: 0001200375-11-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110518 FILED AS OF DATE: 20110520 DATE AS OF CHANGE: 20110520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAW ALAN CENTRAL INDEX KEY: 0001180767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 11862818 MAIL ADDRESS: STREET 1: C/O CODEXIS, INC. STREET 2: 200 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CODEXIS INC CENTRAL INDEX KEY: 0001200375 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 710872999 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-05-18 0 0001200375 CODEXIS INC CDXS 0001180767 SHAW ALAN C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 1 1 0 0 President and CEO Common Stock 2011-05-18 4 M 0 50000 0.6 A 175000 D Common Stock 193666 I See Footnote Stock Option (right to buy) 0.6 2011-05-18 4 M 0 50000 0 D 2013-05-16 Common Stock 50000 73333 D Includes 75,000 restricted stock units. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit. Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees. 100% of the shares subject to the option are fully vested and exercisable. /s/ Douglas T. Sheehy, Attorney-in-Fact for Alan Shaw 2011-05-20