0001140361-18-024737.txt : 20180518 0001140361-18-024737.hdr.sgml : 20180518 20180518175446 ACCESSION NUMBER: 0001140361-18-024737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180517 FILED AS OF DATE: 20180518 DATE AS OF CHANGE: 20180518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aldridge Michael D. CENTRAL INDEX KEY: 0001687664 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 18847880 MAIL ADDRESS: STREET 1: C/O CODEXIS, INC. STREET 2: 200 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER NAME: FORMER CONFORMED NAME: Aldridge Michael D. Lewis DATE OF NAME CHANGE: 20161017 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 2018-05-17 0 0001200375 CODEXIS INC CDXS 0001687664 Aldridge Michael D. C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 0 1 0 0 See Remarks Common Stock 2018-05-17 4 M 0 22000 4.37 A 22000 D Common Stock 2018-05-17 4 S 0 22000 13.5393 D 0 D Stock Option (Right to Buy) 4.37 2018-05-17 4 M 0 22000 0.00 D 2026-10-15 Common Stock 22000 206000 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 $13.30 to $14.10, 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. Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. Senior Vice President, Corporate & Strategic Development /s/ Gordon Sangster, Attorney-in-Fact for Michael D. Aldridge 2018-05-18