Opaleye Management Inc.'s Form 4 filing
Codexis, Inc.CDXS · filed Sep 23, 2024
- Accession no.
- 0001493152-24-037844
- Filed
- Sep 23, 2024
- Trade date
- Sep 20-23, 2024
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $3.31M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Opaleye Management Inc.CIK 0001595855 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 20, 2024 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +1,010,000 | $3.01F3 | +$3,040,100 | 8,390,000 | Indirect | |
| Sep 20, 2024 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +45,000 | $3.01F3 | +$135,450 | 250,000 | Indirect | |
| Sep 23, 2024 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +45,000 | $2.94F4 | +$132,300 | 8,435,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.16 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
Referenced by the price of 2 transactions in Table I.
- F4
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.91-$2.95 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
Referenced by the price of 1 transaction in Table I.