0001567619-18-007639.txt : 20181210 0001567619-18-007639.hdr.sgml : 20181210 20181210173625 ACCESSION NUMBER: 0001567619-18-007639 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181206 FILED AS OF DATE: 20181210 DATE AS OF CHANGE: 20181210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NICOLS JOHN J CENTRAL INDEX KEY: 0001238884 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 181227188 MAIL ADDRESS: STREET 1: ALBEMARLE CORP STREET 2: 451 FLORIDA ST CITY: BATON ROUGE STATE: LA ZIP: 70801 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 2018-12-06 0 0001200375 CODEXIS INC CDXS 0001238884 NICOLS JOHN J C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 1 1 0 0 President and CEO Common Stock 2018-12-06 4 M 0 40000 3.46 A 1112679 D Common Stock 2018-12-06 4 S 0 40000 21.7458 D 1072679 D Common Stock 2018-12-07 4 M 0 3812 3.46 A 1076491 D Common Stock 2018-12-07 4 S 0 3812 22.0906 D 1072679 D Stock Option (Right to Buy) 3.46 2018-12-06 4 M 0 40000 0 D 2022-06-12 Common Stock 40000 234269 D Stock Option (Right to Buy) 3.46 2018-12-07 4 M 0 40000 0 D 2022-06-12 Common Stock 3812 230457 D Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. This transaction was executed in multiple trades in prices ranging from $21.70 to $21.98, 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 $22.05 to $22.20, 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. The option is fully vested and exercisable. /s/ Gordon Sangster, Attorney-in-Fact for John Nicols 2018-12-10