Opaleye Management Inc. 的 Form 4/A 修正申報
修正Codexis, Inc.（CDXS），2025/12/15 申報
- 申報編號
- 0001493152-25-027632
- 申報時間
- 2025/12/15
- 交易日
- 2025/11/7-11/11
- 申報延遲
- 38 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/11/12
這份申報列了 6 筆非衍生性交易。公開市場賣出合計 $186.9 萬。交易後 38 天申報。
這份修正申報取代了 0001493152-25-021897（2025/11/12 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Opaleye Management Inc.CIK 0001595855 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/11/7 | Common Stock, par value $0.001 per share | S賣出處分 | −296,682 | $1.70 | −$504,359.4 | 12,248,318 | 間接 | |
| 2025/11/7 | Common Stock, par value $0.001 per share | S賣出處分 | −10,000 | $1.70 | −$17,000 | 240,000 | 間接 | |
| 2025/11/10 | Common Stock, par value $0.001 per share | S賣出處分 | −205,000 | $1.73 | −$354,650 | 12,043,318 | 間接 | |
| 2025/11/10 | Common Stock, par value $0.001 per share | S賣出處分 | −3,318 | $1.73 | −$5,740.14 | 236,682 | 間接 | |
| 2025/11/11 | Common Stock, par value $0.001 per share | S賣出處分 | −535,000 | $1.80 | −$963,000 | 11,508,318 | 間接 | |
| 2025/11/11 | Common Stock, par value $0.001 per share | S賣出處分 | −13,211 | $1.80 | −$23,779.8 | 223,461 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
- F2
Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.
- F3
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.68 - $1.71 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.
- F4
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 - $1.75 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.
- F5
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.7696 - $1.81 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.
- F6
Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.
備註
This Form 4/A is being filed to correct a clerical error in Column 4 of Table I for the transaction on 11/07/2025, which was originally reported as an acquisition ('A') and has been corrected to a disposition ('D'). No other changes have been made.