Filing Details

Accession Number:
0001225208-16-039231
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-12 18:27:57
Reporting Period:
2016-09-08
Filing Date:
2016-09-12
Accepted Time:
2016-09-12 18:27:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1200375 Codexis Inc CDXS Industrial Organic Chemicals (2860) 710872999
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1509160 Vivo Ventures Fund Vii, L.p. 575 High St
Palo Alto CA 94301
No No Yes No
1538309 Vivo Ventures Vii Affiliates Fund, L.p. 575 High St
Palo Alto CA 94301
No No Yes No
1565020 Vivo Ventures Vii, Llc 575 High Street, Suite 201
Palo Alto CA 94301
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2016-09-08 109,219 $4.25 5,181,885 No 4 S Indirect By Vivo Ventures Fund VII, L.P.
Common Stock Disposition 2016-09-08 2,381 $4.25 112,940 No 4 S Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Vivo Ventures Fund VII, L.P.
No 4 S Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Footnotes
  1. The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.10 to $4.40 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
  2. These shares are owned directly by Vivo Ventures Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares.
  3. These shares are owned directly by Vivo Ventures Affliates Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares.