0001140361-18-024057.txt : 20180515 0001140361-18-024057.hdr.sgml : 20180515 20180515190621 ACCESSION NUMBER: 0001140361-18-024057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180514 FILED AS OF DATE: 20180515 DATE AS OF CHANGE: 20180515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lalonde James CENTRAL INDEX KEY: 0001599677 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 18838378 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 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 4 1 doc1.xml FORM 4 X0306 4 2018-05-14 0 0001200375 CODEXIS INC CDXS 0001599677 Lalonde James C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 0 1 0 0 SVP, R&D Common Stock 2018-05-14 4 S 0 10000 13.09 D 220066 D Common Stock 2018-05-15 4 S 0 10000 12.903 D 210066 D Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. This transaction was executed in multiple trades in prices ranging from $12.95 to $13.25, 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. This transaction was executed in multiple trades in prices ranging from $12.775 to $13.125, 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. /s/ Gordon Sangster, Attorney-in-Fact for James Lalonde 2018-05-15