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