0001567619-21-001351.txt : 20210121
0001567619-21-001351.hdr.sgml : 20210121
20210121192931
ACCESSION NUMBER: 0001567619-21-001351
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210120
FILED AS OF DATE: 20210121
DATE AS OF CHANGE: 20210121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dorgan Byron L
CENTRAL INDEX KEY: 0001513219
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34705
FILM NUMBER: 21543327
MAIL ADDRESS:
STREET 1: C/O CODEXIS, INC.
STREET 2: 200 PENOBSCOT DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
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
2021-01-20
0
0001200375
CODEXIS, INC.
CDXS
0001513219
Dorgan Byron L
C/O CODEXIS, INC.
200 PENOBSCOT DRIVE
REDWOOD CITY
CA
94063
1
0
0
0
Common Stock
2021-01-20
4
M
0
25000
10.63
A
187790
D
Common Stock
2021-01-20
4
S
0
25000
26.7463
D
162790
D
Common Stock
2021-01-21
4
M
0
25000
10.63
A
187790
D
Common Stock
2021-01-21
4
S
0
25000
25.1678
D
162790
D
Stock Option (Right to Buy)
10.63
2021-01-20
4
M
0
25000
0.00
D
2014-02-17
2021-02-16
Common Stock
25000
25000
D
Stock Option (Right to Buy)
10.63
2021-01-21
4
M
0
25000
0.00
D
2014-02-17
2021-02-16
Common Stock
25000
0
D
The shares which are the subject of this Form 4 have been sold pursuant to a Rule 10b5-1 Trading Plan dated September 3, 2020 and were obtained by Mr. Dorgan pursuant to a certain stock option grant from Codexis, Inc. dated February 17, 2011 which expires on February 16, 2021.
The transaction was executed in multiple trades in prices ranging from $26.46 to $27.10, 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.
The transaction was executed in multiple trades in prices ranging from $24.78 to $25.57, 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, Attorney-in-Fact for Byron Dorgan
2021-01-21