SHAW ALAN 4
4 · CODEXIS INC · Filed Dec 19, 2011
Insider Transaction Report
Form 4
CODEXIS INCCDXS
SHAW ALAN
DirectorPresident and CEO
Transactions
- Sale
Common Stock
2011-12-16$5.25/sh−23,846$125,234→ 202,000 total(indirect: See Footnote) - Sale
Common Stock
2011-12-15$5.30/sh−30,000$158,877→ 225,846 total(indirect: See Footnote)
Holdings
- 75,000
Common Stock
Footnotes (4)
- [F1]This transaction was executed in multiple trades in prices ranging from $5.15 to $5.41. 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 $5.14 to $5.40. 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.