Nicols John J 的 Form 4 申報
Codexis, Inc.（CDXS），2021/11/12 申報
- 申報編號
- 0001567619-21-020031
- 申報時間
- 2021/11/12
- 交易日
- 2021/11/10-11/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 7 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $289.0 萬。交易後 2 天申報。
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 |
|---|---|
| Nicols John JCIK 0001238884 | 董事、高階主管（總裁、執行長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/10 | Common Stock | M行使選擇權取得 | +35,000 | $3.46 | +$121,100 | 1,057,679 | 直接 | |
| 2021/11/10 | Common Stock | S賣出處分 | −1,475 | $39.12F2 | −$57,702 | 1,056,204 | 直接 | |
| 2021/11/10 | Common Stock | S賣出處分 | −14,071 | $39.85F3 | −$560,729.35 | 1,042,133 | 直接 | |
| 2021/11/10 | Common Stock | S賣出處分 | −19,454 | $40.69F4 | −$791,583.26 | 1,022,679 | 直接 | |
| 2021/11/11 | Common Stock | M行使選擇權取得 | +38,500 | $2.32 | +$89,320 | 1,061,179 | 直接 | |
| 2021/11/11 | Common Stock | S賣出處分 | −27,173 | $38.19F5 | −$1,037,736.87 | 1,034,006 | 直接 | |
| 2021/11/11 | Common Stock | S賣出處分 | −11,327 | $39.07F6 | −$442,545.89 | 1,022,679 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/10 | Common Stock | M行使選擇權處分 | −35,000 | $0.00 | $0 | 0 | 直接 | |
| 2021/11/11 | Common Stock | M行使選擇權處分 | −38,500 | $0.00 | $0 | 231,500 | 直接 |
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。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。