Form Type: 4

SEC EDGAR Link
Acccession Number:0001567619-19-011235
Date:2019-05-13
Issuer: CODEXIS INC (CDXS)
Original Submission Date:

Reporting Person:

LALONDE JAMES
C/O CODEXIS, INC.
200 PENOBSCOT DRIVE REDWOOD CITY, CA 94063

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-13 M 17,621 a $7.46 151,023 direct
COMMON STOCK 2019-05-13 S 17,621 d $18.61 133,402 direct
COMMON STOCK 2019-05-14 M 2,378 a $7.46 135,780 direct
COMMON STOCK 2019-05-14 S 2,378 d $18.95 133,402 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 7.46 2019-05-13 deemed execution date M 17,621 (d) common stock 17,621 $7.46 2,378 direct
STOCK OPTION (RIGHT TO BUY) 7.46 2019-05-14 deemed execution date M 2,378 (d) common stock 2,378 $7.46 0 direct
Footnotes
IDfootnote
f1 includes 7,949 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. the shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
f2 this transaction was executed in multiple trades in prices ranging from $18.50 to $18.84, 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 with the range set forth in this footnote.
f3 includes 1,073 shares held in constructive trust for the sole benefit of the reporting person's ex-spouse pursuant to terms of a marital settlement agreement. the shares held in trust for the ex-spouse are no longer beneficially owned by the reporting person.
f4 this transaction was executed in multiple trades in prices ranging from $18.90 to $19.00, 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 with the range set forth in this footnote.
f5 the option is fully vested and exercisable.
f6 the option was exercised by the reporting person ahead of its expiration on june 1, 2019.

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