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CIK 0001200375 · Non-accelerated filer<br>Smaller reporting company

CODEXIS, INC.

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Ticker
CDXS
Exchange
Nasdaq
Industry
Industrial Organic Chemicals
FY end
Dec 31
Incorporated
DE
Entity type
operating
EIN
710872999
Phone
650-421-8100
Business address
200 PENOBSCOT DRIVE, REDWOOD CITY, CA, 94063
Former names
CODEXIS INC
Open-market buys, last 90 days
$0
in 0 filings
Open-market sales, last 90 days
$18,446
in 3 filings

Net −$18,446. Shares bought or sold at a price by officers, directors and 10% owners (Form 4 codes P and S). Grants, option exercises and tax withholding aren't counted.

Reading 61 more Form 4s from the SEC; this list fills in as they're read.

Date Insider Transaction Shares Price Value Owned after
2017-08-18 SANGSTER GORDON SVP & Chief Financial Officer Shares withheld for taxes −6,264 $5.45 $34K 190,422
2017-06-14 BARUCH THOMAS R Director Grant or award +17,894 197,170
2017-06-14 Cheng Pam P. Director Grant or award +17,894 97,934
2017-06-14 Dorgan Byron L Director Grant or award +17,894 194,670
2017-06-14 KELLEY BERNARD J Director Grant or award +17,894 240,157
2017-06-14 Glaub Kathleen Sereda Director Grant or award +17,894 102,197
2017-06-14 Smith David V Director Grant or award +17,894 62,679
2017-06-14 WOLF DENNIS P Director Grant or award +17,894 141,254
2017-06-14 Yang Patrick Y Director Grant or award +17,894 338,234
2017-03-05 NICOLS JOHN J President and CEO Shares withheld for taxes −149,119 $4.15 $619K 1,164,854
2017-03-05 SANGSTER GORDON SVP & Chief Financial Officer Shares withheld for taxes −34,847 $4.15 $145K 196,686
2017-03-05 Lalonde James SVP, R&D Shares withheld for taxes −20,630 $4.15 $86K 241,986
2017-02-10 NICOLS JOHN J President and CEO Shares withheld for taxes −8,554 $4.35 $37K 1,313,973
2017-02-10 Lalonde James SVP, R&D Shares withheld for taxes −2,404 $4.35 $10K 262,616
2017-02-03 Lalonde James SVP, R&D Grant or award · Stock Options (Right to Buy) +110,000 110,000
2017-02-03 Aldridge Michael D. See Remarks Grant or award · Stock Options (Right to Buy) +125,000 125,000
2017-02-03 SANGSTER GORDON SVP & Chief Financial Officer Grant or award · Stock Options (Right to Buy) +125,000 125,000
2017-02-03 NICOLS JOHN J President and CEO Grant or award · Stock Option (Right to Buy) +220,000 220,000
2017-01-16 NICOLS JOHN J President and CEO Grant or award +421,208 1,322,527
2017-01-16 Lalonde James SVP, R&D Grant or award +66,881 265,020

Page 28 of 36 · 712 trades