SEC Form 4 · accession 0001225208-16-038071
CODEXIS, INC. · CDXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 7:55 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 | Aug 15, 2016 | S | 48,934 | $4.274 | D | 5,327,211 | I | By Vivo Ventures Fund VI, L.P. |
| Common StockF3,F2 | Aug 16, 2016 | S | 36,107 | $4.2072 | D | 5,291,104 | I | By Vivo Ventures Fund VI, L.P. |
| Common StockF1,F4 | Aug 15, 2016 | S | 1,066 | $4.274 | D | 116,108 | I | By Vivo Ventures VII Affiliates Fund, L.P. |
| Common StockF3,F4 | Aug 16, 2016 | S | 787 | $4.2072 | D | 115,321 | I | By Vivo Ventures VII Affiliates Fund, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2These 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.
- F3The 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.
- F4These 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.