4//SEC Filing
CMEA VENTURES LIFE SCIENCES 2000 LP 4
Accession 0001181431-10-023529
CIK 0001200375other
Filed
Apr 28, 8:00 PM ET
Accepted
Apr 29, 9:41 PM ET
Size
46.2 KB
Accession
0001181431-10-023529
Insider Transaction Report
Form 4
CODEXIS INCCDXS
CMEA VENTURES LIFE SCIENCES 2000 LP
10% Owner
Transactions
- Conversion
Common Stock
2010-04-27+1,418,477→ 1,418,477 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+371,043→ 2,740,158 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2010-04-27−62,815→ 0 total(indirect: See Footnote)→ Common Stock (62,815 underlying) - Conversion
Series E Preferred Stock
2010-04-27−24,525→ 0 total(indirect: See Footnote)→ Common Stock (24,525 underlying) - Conversion
Series D Preferred Stock
2010-04-27−950,638→ 0 total(indirect: See Footnote)→ Common Stock (950,638 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−5,730→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (5,730 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−86,718→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+93,727→ 93,727 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−1,418,477→ 0 total(indirect: See Footnote)→ Common Stock (1,418,477 underlying) - Conversion
Common Stock
2010-04-27+24,525→ 181,067 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+950,638→ 2,369,115 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−93,727→ 0 total(indirect: See Footnote)→ Common Stock (93,727 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+86,718→ 86,718 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+62,815→ 156,542 total(indirect: See Footnote) - Conversion
Series E Preferred Stock
2010-04-27−371,043→ 0 total(indirect: See Footnote)→ Common Stock (371,043 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+5,730→ 5,730 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (5,730 underlying)
Collier David J
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2010-04-27−93,727→ 0 total(indirect: See Footnote)→ Common Stock (93,727 underlying) - Conversion
Common Stock
2010-04-27+93,727→ 93,727 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+24,525→ 181,067 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+950,638→ 2,369,115 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−1,418,477→ 0 total(indirect: See Footnote)→ Common Stock (1,418,477 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−5,730→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (5,730 underlying) - Conversion
Series D Preferred Stock
2010-04-27−950,638→ 0 total(indirect: See Footnote)→ Common Stock (950,638 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+86,718→ 86,718 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+62,815→ 156,542 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+1,418,477→ 1,418,477 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+371,043→ 2,740,158 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2010-04-27−62,815→ 0 total(indirect: See Footnote)→ Common Stock (62,815 underlying) - Conversion
Series E Preferred Stock
2010-04-27−24,525→ 0 total(indirect: See Footnote)→ Common Stock (24,525 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+5,730→ 5,730 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (5,730 underlying) - Conversion
Series E Preferred Stock
2010-04-27−371,043→ 0 total(indirect: See Footnote)→ Common Stock (371,043 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−86,718→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (86,718 underlying)
Transactions
- Conversion
Common Stock
2010-04-27+24,525→ 181,067 total(indirect: See Footnote) - Conversion
Series E Preferred Stock
2010-04-27−371,043→ 0 total(indirect: See Footnote)→ Common Stock (371,043 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+86,718→ 86,718 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+1,418,477→ 1,418,477 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+371,043→ 2,740,158 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−1,418,477→ 0 total(indirect: See Footnote)→ Common Stock (1,418,477 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+5,730→ 5,730 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (5,730 underlying) - Conversion
Common Stock
2010-04-27+93,727→ 93,727 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+62,815→ 156,542 total(indirect: See Footnote) - Conversion
Series E Preferred Stock
2010-04-27−24,525→ 0 total(indirect: See Footnote)→ Common Stock (24,525 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−5,730→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (5,730 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−86,718→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+950,638→ 2,369,115 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−93,727→ 0 total(indirect: See Footnote)→ Common Stock (93,727 underlying) - Conversion
Series D Preferred Stock
2010-04-27−62,815→ 0 total(indirect: See Footnote)→ Common Stock (62,815 underlying) - Conversion
Series D Preferred Stock
2010-04-27−950,638→ 0 total(indirect: See Footnote)→ Common Stock (950,638 underlying)
Transactions
- Conversion
Series B Preferred Stock
2010-04-27−93,727→ 0 total(indirect: See Footnote)→ Common Stock (93,727 underlying) - Conversion
Series E Preferred Stock
2010-04-27−371,043→ 0 total(indirect: See Footnote)→ Common Stock (371,043 underlying) - Conversion
Common Stock
2010-04-27+62,815→ 156,542 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+950,638→ 2,369,115 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+93,727→ 93,727 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+24,525→ 181,067 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+1,418,477→ 1,418,477 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+371,043→ 2,740,158 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2010-04-27−950,638→ 0 total(indirect: See Footnote)→ Common Stock (950,638 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+5,730→ 5,730 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (5,730 underlying) - Conversion
Series D Preferred Stock
2010-04-27−62,815→ 0 total(indirect: See Footnote)→ Common Stock (62,815 underlying) - Conversion
Series B Preferred Stock
2010-04-27−1,418,477→ 0 total(indirect: See Footnote)→ Common Stock (1,418,477 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−5,730→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (5,730 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+86,718→ 86,718 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (86,718 underlying) - Conversion
Series E Preferred Stock
2010-04-27−24,525→ 0 total(indirect: See Footnote)→ Common Stock (24,525 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−86,718→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (86,718 underlying)
Handelsman Karl D.
10% Owner
Transactions
- Conversion
Common Stock
2010-04-27+93,727→ 93,727 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+24,525→ 181,067 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2010-04-27−62,815→ 0 total(indirect: See Footnote)→ Common Stock (62,815 underlying) - Conversion
Series B Preferred Stock
2010-04-27−1,418,477→ 0 total(indirect: See Footnote)→ Common Stock (1,418,477 underlying) - Conversion
Series E Preferred Stock
2010-04-27−371,043→ 0 total(indirect: See Footnote)→ Common Stock (371,043 underlying) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−86,718→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (86,718 underlying) - Conversion
Common Stock
2010-04-27+950,638→ 2,369,115 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+371,043→ 2,740,158 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-04-27−93,727→ 0 total(indirect: See Footnote)→ Common Stock (93,727 underlying) - Conversion
Series E Preferred Stock
2010-04-27−24,525→ 0 total(indirect: See Footnote)→ Common Stock (24,525 underlying) - Conversion
Series D Preferred Stock
2010-04-27−950,638→ 0 total(indirect: See Footnote)→ Common Stock (950,638 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+5,730→ 5,730 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (5,730 underlying) - Conversion
Common Stock
2010-04-27+62,815→ 156,542 total(indirect: See Footnote) - Conversion
Common Stock
2010-04-27+1,418,477→ 1,418,477 total(indirect: See Footnote) - Other
Warrant to Purchase Series D Preferred Stock
2010-04-27−5,730→ 0 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Series D Preferred Stock (5,730 underlying) - Other
Warrant to Purchase Common Stock
2010-04-27+86,718→ 86,718 total(indirect: See Footnote)Exercise: $5.96Exp: 2013-05-25→ Common Stock (86,718 underlying)
Footnotes (9)
- [F1]Reflects a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-164044).
- [F2]Each share of Series B Preferred Stock automatically converted into Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering.
- [F3]Held by CMEA Ventures Life Sciences 2000, Civil Law Partnership. Thomas R. Baruch, a member of the Issuer's board of directors, David Collier and Karl Handelsman are general partners of CMEA Ventures LS Management 2000, L.P., the managing limited partner of CMEA Ventures Life Sciences 2000, Civil Law Partnership, and, as such, have voting and investment power over the securities held by CMEA Ventures Life Sciences 2000, Civil Law Partnership. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in this Form 4 except to the extent of any pecuniary interest therein.
- [F4]Each share of Series D Preferred Stock automatically converted into Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering.
- [F5]As previously reported on the Form 3 dated April 21, 2010, due to the antidilution provisions of the Issuer's certificate of incorporation that apply to the Series E Preferred Stock, each share of Series E Preferred Stock automatically converted into Common Stock on a 1.008702-for-1 basis upon the closing of the Issuer's initial public offering. Number of shares reported includes the additional 211 shares and 3,200 shares of Common Stock that was issued to CMEA Ventures Life Sciences 2000, Civil Law Partnership and CMEA Ventures Life Sciences 2000, L.P., respectively, upon such conversion as a result of such antidilution adjustment.
- [F6]Held by CMEA Ventures Life Sciences 2000, L.P. Thomas R. Baruch, a member of the Issuer's board of directors, David Collier and Karl Handelsman are general partners of CMEA Ventures LS Management 2000, L.P., the general partner of CMEA Ventures Life Sciences 2000, L.P., and, as such, have voting and investment power over the securities held by CMEA Ventures Life Sciences 2000, L.P. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in this Form 4 except to the extent of any pecuniary interest therein.
- [F7]The expiration date is not relevant to the conversion of these securities.
- [F8]Upon completion of the Issuer's initial public offering, the warrant to purchase shares of Series D Preferred Stock automatically converted into a warrant to purchase an equal number of shares of the Issuer's Common Stock. Disposition of Warrant to Series D Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
- [F9]This warrant is immediately exercisable.
Documents
Issuer
CODEXIS INC
CIK 0001200375
Entity typeother
Related Parties
1- filerCIK 0001127950
Filing Metadata
- Form type
- 4
- Filed
- Apr 28, 8:00 PM ET
- Accepted
- Apr 29, 9:41 PM ET
- Size
- 46.2 KB