0001567619-21-010722.txt : 20210519 0001567619-21-010722.hdr.sgml : 20210519 20210519161133 ACCESSION NUMBER: 0001567619-21-010722 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210517 FILED AS OF DATE: 20210519 DATE AS OF CHANGE: 20210519 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: 21940407 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 STATE OF INCORPORATION: DE 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 FORMER COMPANY: FORMER CONFORMED NAME: CODEXIS INC DATE OF NAME CHANGE: 20021022 4 1 doc1.xml FORM 4 X0306 4 2021-05-17 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 2021-05-17 4 M 0 35385 3.46 A 1058064 D Common Stock 2021-05-17 4 S 0 35385 18.1242 D 1022679 D Common Stock 2021-05-18 4 M 0 35000 3.46 A 1057679 D Common Stock 2021-05-18 4 S 0 13877 18.5618 D 1043802 D Common Stock 2021-05-18 4 S 0 21123 18.9309 D 1022679 D Stock Option (Right to Buy) 3.46 2021-05-17 4 M 0 35385 0.00 D 2016-06-13 2022-06-12 Common Stock 35385 140000 D Stock Option (Right to Buy) 3.46 2021-05-18 4 M 0 35000 0.00 D 2016-06-13 2022-06-12 Common Stock 35000 105000 D Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021. This transaction was executed in multiple trades in prices ranging from $17.76 to $18.50, 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 $17.80 to $18.79, 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 $18.80 to $19.12, 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/ Ross Taylor, as Attorney-in-Fact for John J. Nicols 2021-05-19