3: Initial statement of beneficial ownership of securities
Published on April 21, 2010
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 04/19/2017 | Common Stock | 100,000 (2) | $ 2.45 (2) | D | |
Stock Option (right to buy) | (3) | 08/28/2017 | Common Stock | 22,000 (2) | $ 6.71 (2) | D | |
Stock Option (right to buy) | (4) | 10/25/2017 | Common Stock | 37,333 (2) | $ 6.86 (2) | D | |
Stock Option (right to buy) | (5) | 06/02/2019 | Common Stock | 33,333 (2) | $ 7.46 (2) | D | |
Stock Option (right to buy) | (6) | 11/09/2019 | Common Stock | 40,666 (2) | $ 9.09 (2) | D | |
Stock Option (right to buy) | (7) | 02/11/2020 | Common Stock | 33,333 (2) | $ 10.92 (2) | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sheehy Douglas T. C/O CODEXIS, INC. 200 PENOBSCOT DRIVE REDWOOD CITY, CA 94063 |
SVP, Gen Counsel and Sec. |
Signatures
/s/ Douglas T. Sheehy | 04/21/2010 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Option vests with respect to 25% of the shares subject thereto on April 2, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on April 2, 2011. |
(2) | Reflects a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-164044). |
(3) | Option vests with respect to 25% of the shares subject thereto on August 28, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 28, 2011. |
(4) | Option vests with respect to 25% of the shares subject thereto on October 25, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 25, 2011. |
(5) | Option vests with respect to 1/24th of the shares subject thereto monthly commencing on January 1, 2011, such that the option will be fully vested and exercisable on January 1, 2013. |
(6) | Option vests with respect to 25% of the shares subject thereto on November 9, 2010, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on November 9, 2013. |
(7) | Option vests with respect to 100% of the shares subject thereto on January 1, 2015. Upon the completion of the Issuer's initial public offering, the option will vest with respect to 25% of the shares subject thereto on January 1, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 1, 2014. |