0001567619-23-004772.txt : 20230309 0001567619-23-004772.hdr.sgml : 20230309 20230309211529 ACCESSION NUMBER: 0001567619-23-004772 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230208 FILED AS OF DATE: 20230309 DATE AS OF CHANGE: 20230309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DILLY STEPHEN GEORGE CENTRAL INDEX KEY: 0001389147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 23721431 MAIL ADDRESS: STREET 1: C/O SIERRA ONCOLOGY, INC. STREET 2: 1820 GATEWAY DRIVE, SUITE 110 CITY: SAN MATEO STATE: CA ZIP: 94404 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 2023-02-08 0 0001200375 CODEXIS, INC. CDXS 0001389147 DILLY STEPHEN GEORGE C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 1 1 0 0 See Remarks Common Stock 2023-02-08 4 A 0 289000 0 A 435474 D Common Stock 2023-03-07 4 S 0 28088 4.6027 D 407386 D Common Stock 2023-03-08 4 S 0 26987 4.5552 D 380399 D Represents restricted stock awards ("PSUs") initially granted on November 8, 2022 that were subject a performance-based vesting condition. The vesting condition was determined to be 85% satisfied on February 8, 2023. The PSUs will vest fully on March 5, 2024, subject to the Reporting Person's continued service to the Issuer on such vesting date. The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to a PSUs of the Issuer. Reflects the weighted average of all shares sold to cover taxes upon vesting of PSUs on March 8, 2023 for certain employees of the Issuer. President and Chief Executive Officer /s/ Sriram Ryali, Attorney-in-Fact for Stephen G. Dilly 2023-03-09