Filing Details
- Accession Number:
- 0001225208-16-038071
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-17 19:55:33
- Reporting Period:
- 2016-08-15
- Filing Date:
- 2016-08-17
- Accepted Time:
- 2016-08-17 19:55:33
- 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 | 2016-08-15 | 48,934 | $4.27 | 5,327,211 | No | 4 | S | Indirect | By Vivo Ventures Fund VI, L.P. |
| Common Stock | Disposition | 2016-08-16 | 36,107 | $4.21 | 5,291,104 | No | 4 | S | Indirect | By Vivo Ventures Fund VI, L.P. |
| Common Stock | Disposition | 2016-08-15 | 1,066 | $4.27 | 116,108 | No | 4 | S | Indirect | By Vivo Ventures VII Affiliates Fund, L.P. |
| Common Stock | Disposition | 2016-08-16 | 787 | $4.21 | 115,321 | 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 VI, L.P. |
| No | 4 | S | Indirect | By Vivo Ventures Fund VI, L.P. |
| No | 4 | S | Indirect | By Vivo Ventures VII Affiliates Fund, L.P. |
| No | 4 | S | Indirect | By Vivo Ventures VII Affiliates Fund, L.P. |
Footnotes
- The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.18 to $4.39 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.
- 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.
- The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.15 to $4.28 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.
- These shares are owned directly by Vivo Ventures VII Affliates Fund, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares.
Billionaire Hedge Funds
