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Filing Details

Accession Number:: 0001615774-17-005168
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-09-18 20:52:46
Reporting Period:: 2017-09-14

Accepted Time:: 2017-09-18 20:52:46
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	Director	Officer	Large Shareholder	Other
1509160	Vivo Ventures Fund Vii, L.p.	505 Hamilton Avenue, Suite 200 Palo Alto CA 94301	No	No	Yes	No
1538309	Vivo Ventures Vii Affiliates Fund, L.p.	505 Hamilton Avenue, Suite 200 Palo Alto CA 94301	No	No	Yes	No
1565020	Vivo Ventures Vii, Llc	C/O Vivo Capital Llc 505 Hamilton Avenue, Suite 207 Palo Alto CA 94301	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-09-14	1,037,390	$5.78	4,144,495	No	4	S	Indirect	By Vivo Ventures Fund VII, L.P.
Common Stock	Disposition	2017-09-14	22,610	$5.78	90,330	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

Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.