Nicols John J's Form 4 filing
Codexis, Inc. (CDXS) · filed Nov 12, 2021
- Accession no.
- 0001567619-21-020031
- Filed
- Nov 12, 2021
- Trade date
- Nov 10-11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.89M. It was filed 2 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 |
|---|---|
| Nicols John JCIK 0001238884 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $3.46 | +$121,100 | 1,057,679 | Direct | |
| Nov 10, 2021 | Common Stock | SSaleDisposed | −1,475 | $39.12F2 | −$57,702 | 1,056,204 | Direct | |
| Nov 10, 2021 | Common Stock | SSaleDisposed | −14,071 | $39.85F3 | −$560,729.35 | 1,042,133 | Direct | |
| Nov 10, 2021 | Common Stock | SSaleDisposed | −19,454 | $40.69F4 | −$791,583.26 | 1,022,679 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +38,500 | $2.32 | +$89,320 | 1,061,179 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −27,173 | $38.19F5 | −$1,037,736.87 | 1,034,006 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −11,327 | $39.07F6 | −$442,545.89 | 1,022,679 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 0 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −38,500 | $0.00 | $0 | 231,500 | Direct |
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.
- F2
This transaction was executed in multiple trades in prices ranging from $38.38 to $39.38, 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.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades in prices ranging from $39.39 to $40.38, 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.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades in prices ranging from $40.395 to $40.86, 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.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades in prices ranging from $37.65 to $38.63, 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.
Referenced by the price of 1 transaction in Table I.
- F6
This transaction was executed in multiple trades in prices ranging from $38.82 to $39.365, 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.
Referenced by the price of 1 transaction in Table I.