SEC Form 4 · accession 0001140361-15-024132
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Baruch
Director
Period of report
Nov 10, 2014
Accepted (ET)
Jun 12, 2015 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001200375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 10, 2014 | J | 2,740,158 | — | D | 0 | I | See Footnote |
| Common StockF3,F4 | Nov 10, 2014 | J | 181,067 | — | D | 0 | I | See Footnote |
| Common Stock | holding | — | — | — | 138,451 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold by CMEA Ventures Life Sciences 2000, L.P. ("CMEA LS") to Presidio Partners 2014, L.P. for $2.37 per share. The reported transaction is the same transaction reported by CMEA LS in its capacity as a 10% holder of the Issuer's securities in a separate Form 4 filed on Nov 12, 2014.
- F2The shares are held by CMEA LS. Thomas R. Baruch, a member of the Issuer's board of directors, is a general partner of CMEA Ventures LS Management 2000, L.P., the general partner of CMEA LS, and, as such, has voting and investment power over the securities held by CMEA LS. The Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of any pecuniary interest therein.
- F3The shares were sold by CMEA Ventures Life Sciences 2000, Civil Law Partnership ("CMEA CLP") to Presidio Partners 2014, L.P. for $2.37 per share. The reported transaction is the same transaction reported by CMEA CLP in its capacity as a 10% holder of the Issuer's securities in a separate Form 4 filed on Nov 12, 2014.
- F4The shares are held by CMEA CLP. Thomas R. Baruch, a member of the Isser's board of directors, is a general partner of CMEA Ventures LS Management 2000, L.P., the managing limited partner of CMEA CLP, and, as such, has voting and investment power over the securities held by CMEA CLP. The Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of any pecuniary interest therein.