0001567619-22-003128.txt : 20220209 0001567619-22-003128.hdr.sgml : 20220209 20220209214208 ACCESSION NUMBER: 0001567619-22-003128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220207 FILED AS OF DATE: 20220209 DATE AS OF CHANGE: 20220209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TAYLOR DEAN ROSS JR CENTRAL INDEX KEY: 0001646304 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34705 FILM NUMBER: 22609329 MAIL ADDRESS: STREET 1: C/O ABAXIS INC, 3240 WHIPPLE ROAD CITY: UNION CITY STATE: CA ZIP: 94587 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 2022-02-07 0 0001200375 CODEXIS, INC. CDXS 0001646304 TAYLOR DEAN ROSS JR C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY CA 94063 0 1 0 0 SVP, Chief Financial Officer Common Stock 2022-02-07 4 A 0 9000 0 A 44205 D Common Stock 2022-02-08 4 A 0 11640 0 A 35205 D Stock Option (Right to Buy) 26.16 2022-02-08 4 A 0 16006 0.00 A 2031-02-16 Common Stock 16006 16006 D Stock Option (Right to Buy) 19.39 2022-02-07 4 A 0 13000 0.00 A 2032-02-07 Common Stock 13000 13000 D Restricted Stock Units ("RSUs") vest 1/3 annually from February 7, 2022 such that the RSUs will be fully vested on February 7, 2025. Each RSU represents a contingent right to receive one share of Codexis common stock. Represent shares of common stock issuable pursuant to performance stock units for which achievement has been certified by the Issuer's compensation committee. Shares will be issued in two equal installments on each of March 5, 2022 and March 5, 2023, subject to continued employment through such date. On February 16, 2021, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2021 with any remaining shares forfeited. On February 8, 2022, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 72.75% of the target level, which will result in the vesting of the option with respect to 8,003 shares on March 5, 2022 and 8,003 shares on March 5, 2023, in each case subject to the reporting person's continued service to the issuer through such vesting date. Option vests with respect to 25% of the shares subject thereto on February 7, 2023, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 7, 2026. /s/ Ross Taylor 2022-02-09