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