0001567619-23-003441.txt : 20230221 0001567619-23-003441.hdr.sgml : 20230221 20230221202650 ACCESSION NUMBER: 0001567619-23-003441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230221 FILED AS OF DATE: 20230221 DATE AS OF CHANGE: 20230221 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: 23650266 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 2023-02-21 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 2023-02-21 4 A 0 112500 0 A 146474 D Stock Option (Right to Buy) 5.44 2023-02-21 4 A 0 337500 0 A 2033-02-21 Common Stock 337500 337500 D Restricted Stock Units ("RSUs") vest 1/3 annually from February 21, 2023 such that the RSUs will be fully vested on February 21, 2026. Each RSU represents a contingent right to receive one share of Codexis common stock. Option vests and becomes exercisable with respect to 25% of the shares subject thereto on February 21, 2024, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2027, in each case, subject to continued service through the applicable vesting date. President and Chief Executive Officer /s/ Sriram Ryali, Attorney-in-Fact for Stephen G. Dilly 2023-02-21