# EDGAR Filing Document

**Accession Number:** 0001389147
**File Stem:** 0001567619-23-004772
**Filing Date:** 2023-3
**Character Count:** 6532
**Document Hash:** 9c157084dd0d2adfdb5b299956752022
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001567619-23-004772.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001567619-23-004772

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230208

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** DILLY STEPHEN GEORGE
- **CENTRAL INDEX KEY:** 0001389147

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34705
- **FILM NUMBER:** 23721431

**MAIL ADDRESS:**
- **STREET 1:** C/O SIERRA ONCOLOGY, INC.
- **STREET 2:** 1820 GATEWAY DRIVE, SUITE 110
- **CITY:** SAN MATEO
- **STATE:** CA
- **ZIP:** 94404
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CODEXIS, INC.
- **CENTRAL INDEX KEY:** 0001200375
- **STANDARD INDUSTRIAL CLASSIFICATION:** INDUSTRIAL ORGANIC CHEMICALS [2860]
- **IRS NUMBER:** 710872999
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 200 PENOBSCOT DRIVE
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063
- **BUSINESS PHONE:** 650-421-8100

**MAIL ADDRESS:**
- **STREET 1:** 200 PENOBSCOT DRIVE
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CODEXIS INC
- **DATE OF NAME CHANGE:** 20021022

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>DILLY STEPHEN GEORGE<br><sub>(Last) (First) (Middle)</sub><br>C/O CODEXIS, INC.<br>200 PENOBSCOT DRIVE<br><sub>(Street)</sub><br>REDWOOD CITY, CA 94063<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-08 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CODEXIS, INC. [ CDXS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-08 |  | A |  | 289000<sup>(1)</sup> | A | $0 | 435474 | D |  |
| Common Stock | 2023-03-07 |  | S<sup>(2)</sup> |  | 28088 | D | 4.6027<sup>(3)</sup> | 407386 | D |  |
| Common Stock | 2023-03-08 |  | S<sup>(2)</sup> |  | 26987 | D | 4.5552<sup>(3)</sup> | 380399 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents restricted stock awards ("PSUs") initially granted on November 8, 2022 that were subject a performance-based vesting condition. The vesting condition was determined to be 85% satisfied on February 8, 2023. The PSUs will vest fully on March 5, 2024, subject to the Reporting Person's continued service to the Issuer on such vesting date.

(2) The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to a PSUs of the Issuer.

(3) Reflects the weighted average of all shares sold to cover taxes upon vesting of PSUs on March 8, 2023 for certain employees of the Issuer.

**Remarks:**
President and Chief Executive Officer

**Signature:** /s/ Sriram Ryali, Attorney-in-Fact for Stephen G. Dilly  
**Date:** 2023-03-09

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**