0001140361-18-017389.txt : 20180405 0001140361-18-017389.hdr.sgml : 20180405 20180405131119 ACCESSION NUMBER: 0001140361-18-017389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180403 FILED AS OF DATE: 20180405 DATE AS OF CHANGE: 20180405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith David V CENTRAL INDEX KEY: 0001229447 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 18739997 MAIL ADDRESS: STREET 1: 6035 STONERIDGE DRIVE CITY: PLEASANTON STATE: CA ZIP: 94588 FORMER NAME: FORMER CONFORMED NAME: SMITH DAVID V DATE OF NAME CHANGE: 20030429 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 2018-04-03 0 0001200375 CODEXIS INC CDXS 0001229447 Smith David V C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 1 0 0 0 Common Stock 2018-04-03 4 S 0 6000 10.3688 D 56679 I See footnote The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.125 to $10.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Shares held by The Smith Family Trust. /s/ Gordon Sangster, Attorney-in-Fact for David V. Smith 2018-04-05