SHAW ALAN 4
4 · CODEXIS INC · Filed Dec 15, 2011
Insider Transaction Report
Form 4
CODEXIS INCCDXS
SHAW ALAN
DirectorPresident and CEO
Transactions
- Sale
Common Stock
2011-12-13$5.33/sh−7,820$41,718→ 285,846 total(indirect: See Footnote) - Sale
Common Stock
2011-12-14$5.26/sh−30,000$157,671→ 255,846 total(indirect: See Footnote)
Holdings
- 75,000
Common Stock
Footnotes (4)
- [F1]This transaction was executed in multiple trades in prices ranging from $5.25 to $5.49. 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.
- [F2]Shares held by The Shaw Living Trust UAD 6/11/2008, Alan Shaw and Christine Shaw Trustees.
- [F3]This transaction was executed in multiple trades in prices ranging from $5.10 to $5.37. 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.
- [F4]Restricted stock units.