Nicols John J's Form 4 filing
Codexis, Inc. (CDXS) · filed Mar 17, 2023
- Accession no.
- 0001567619-23-005259
- Filed
- Mar 17, 2023
- Trade date
- Mar 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $292.9K. 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 |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2023 | Common Stock | MOption exerciseAcquired | +35,714 | $1.97 | +$70,356.58 | 819,679 | Direct | |
| Mar 15, 2023 | Common Stock | SSaleDisposed | −35,714 | $4.09 | −$146,070.26 | 783,965 | Direct | |
| Mar 16, 2023 | Common Stock | MOption exerciseAcquired | +35,714 | $1.97 | +$70,356.58 | 819,679 | Direct | |
| Mar 16, 2023 | Common Stock | SSaleDisposed | −35,714 | $4.11 | −$146,784.54 | 783,965 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2023 | Common Stock | MOption exerciseDisposed | −35,714 | $0.00 | $0 | 249,998 | Direct | |
| Mar 16, 2023 | Common Stock | MOption exerciseDisposed | −35,714 | $0.00 | $0 | 214,284 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.