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IPO registrations (S-1, F-1) · Registrants

CODEXIS, INC.

SEC CIK
1200375 · filings on EDGAR ↗
Name on the registration
CODEXIS INC
Former names
CODEXIS INC (2002–2019)
Registration
Form S-1, first filed 2008-04-14, last 2010-04-16; 2 initial registrations, 9 amendments
Outcome
Final prospectus filed 2010-04-22; declared effective 2010-04-21; withdrawal requested 2008-09-03
Industry (SIC)
Industrial Organic Chemicals 2860
Incorporated in
DE
Business address
200 PENOBSCOT DRIVE, Redwood City, CA 94063
EIN
71-0872999
Ticker
CDXS (Nasdaq)
EDGAR entity type
operating
Insiders and CEO pay
CODEXIS, INC. on the corporate pages

Offering terms

Proposed price range
$13.00–$15.00 per share (S-1/A filed 2010-04-16)
Final price
$13.00 per share, within the range (424B1 filed 2010-04-22, an initial public offering)
Shares sold
6,000,000
Gross proceeds
$78,000,000 before underwriting discounts and any over-allotment option
Listing
Nasdaq under the symbol CDXS
Lead underwriters
Credit Suisse (4,170,000 shares); Piper Sandler (750,000 shares); RBC Capital Markets (624,000 shares); Pacific Crest Securities (456,000 shares)

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 14

FiledFormWhat it isName as filedEDGAR
2008-04-14S-1S-1 (registration)CODEXIS INC0001193125-08-080151 ↗
2008-08-04S-1/AS-1/A (amendment)CODEXIS INC0001193125-08-164137 ↗
2008-09-03RWRW (withdrawal request)CODEXIS INC0001193125-08-188673 ↗
2009-12-28S-1S-1 (registration)CODEXIS INC0001193125-09-260412 ↗
2010-01-14S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-005996 ↗
2010-02-01S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-018271 ↗
2010-02-17S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-033191 ↗
2010-02-26S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-043073 ↗
2010-03-26S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-068727 ↗
2010-03-31S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-073393 ↗
2010-04-05S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-076663 ↗
2010-04-16S-1/AS-1/A (amendment)CODEXIS INC0001193125-10-085617 ↗
2010-04-21EFFECTEFFECT (declared effective)CODEXIS INC9999999995-10-001117 ↗
2010-04-22424B1424B1 (final prospectus)CODEXIS INC0001193125-10-089459 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2010-04-16S-1/Aregistration statement$13.00–$15.006,000,000-Nasdaq CDXS4primary document; range, shares headline, cover names 4document ↗
2010-04-22424B1final prospectus$13.006,000,000$78,000,000Nasdaq CDXS4primary document; price sentence, shares headline, proceeds table, underwriting table 4, cover names 4document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Anton David L.OfficerCTO & SVP, Process Development; SVP, BioIndustrials; SVP, Research and Development72010–2013
BARUCH THOMAS RDirector; Director,TenPercentOwner222010–2020
Biomedical Sciences Investment Fund Pte Ltd.TenPercentOwner22010
CMEA Ventures Life Sciences 2000, Civil Law PartnershipTenPercentOwner32010–2014
CMEA VENTURES LIFE SCIENCES 2000 LPDirector,TenPercentOwner; TenPercentOwner32010–2014
CMEA Ventures LS Management 2000, L.P.TenPercentOwner32010–2014
Collier David JTenPercentOwner32010–2014
EDB Investments Pte Ltd.TenPercentOwner22010
Equilon Enterprises LLCTenPercentOwner32010–2011
Handelsman Karl D.TenPercentOwner32010–2014
Karsner AlexanderDirector52010–2014
KELLEY BERNARD JDirector282010–2021
Lawson Robert JOfficerSVP and CFO42010–2011
MAXYGEN INCDirector,TenPercentOwner; TenPercentOwner42010
Pasternack Bruce ADirector22010
Royal Dutch Shell plcTenPercentOwner42010–2011
Sarret Joseph J.OfficerCBO, President Pharmaceuticals; SVP and CBO42010–2012
SHAW ALANDirector,OfficerPresident and CEO152010–2011
Sheehy Douglas T.OfficerSee Remarks; SVP, Gen Counsel and Sec.; SVP, General Counsel & Sec.172010–2016
Streng ChrisDirector12010
SULAT JAMES RDirector,TenPercentOwner22010
WOLF DENNIS PDirector352010–2025
Wong Mun YewDirector22010
Dorgan Byron LDirector242011–2024
Shell Brazil Holding B.V.TenPercentOwner22011
Ispagnac Participacoes Ltda.TenPercentOwner32011
Cosan Ltd.TenPercentOwner12011
Cosan S.A. Industria e ComercioTenPercentOwner12011
Raizen Energia Participacoes S.A.TenPercentOwner12011
Mizutani Pedro IsamuDirector12011
Strumph Peter MOfficerInterim President and CEO52012
Dowd Brian PaulOfficerInterim CFO42012
NICOLS JOHN JDirector; Director,Officer; OfficerPresident and CEO; President & CEO502012–2023
Ho MarkOfficerPrincipal Accounting Officer12012
Tobin MatthewOfficerSVP, Research & Development42012–2013
O'Toole David DOfficerSVP & Chief Financial Officer72012–2013
Seufer-Wasserthal PeterOfficerSVP, Pharmaceuticals22013
Lalonde JamesOfficerSVP, R&D302014–2019
Yang Patrick YDirector292014–2022
SANGSTER GORDONOfficerSVP & Chief Financial Officer212014–2019
Glaub Kathleen SeredaDirector102014–2019
Cheng Pam P.Director82014–2019
Vivo Ventures Fund VII, L.P.TenPercentOwner52015–2017
Vivo Ventures VII Affiliates Fund, L.P.TenPercentOwner52015–2017
VIVO VENTURES VII, LLCTenPercentOwner52015–2017
Smith David VDirector152016–2026
Aldridge Michael D.OfficerSee Remarks82016–2018
TAYLOR DEAN ROSS JROfficer; OtherChief Financial Officer; SVP, Chief Financial Officer; SVP, Chief Scientific Officer92019–2023
DILLY STEPHEN GEORGEDirector; Director,OfficerSee Remarks122020–2026
MOORE ALISONDirector; Director,Officer; OfficerChief Technical Officer; President and CEO122020–2026
Aaker JenniferDirector52020–2023
Martinborough EstherDirector82021–2026
Singhvi RahulDirector72022–2026
Norrett KevinOfficerChief Operating Officer72022–2025
Fitzgerald Margaret NellOfficerSee remarks; See Remarks62022–2024
PARKER H STEWARTDirector62022–2026
Ryali SriramOfficerChief Financial Officer42023–2024
Opaleye Management Inc.TenPercentOwner282024–2025
Erbez GeorgiaOfficerChief Financial Officer; See Remarks62024–2026
De Vre RaymondDirector62024–2026
Richards ChristosDirector42025–2026
Collins CynthiaDirector42025–2026
Lutz StefanOfficerChief Scientific Officer; CSO42025–2026

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Private offerings before or after (Form D)

First filedIssuerIndustryOfferingSoldInvestorsFilings
2019-06-20CODEXIS, INC.Biotechnology$50,000,000$50,000,00011

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Form D issuerCODEXIS, INC.CAForm D private offeringsCIK (EXACT)
SEC filerCODEXIS, INC.SEC filers (EDGAR)CIK (EXACT)
Form 5500 plan sponsorCODEXIS, INC.EIN (EXACT)
Federal award recipientCODEXIS INCFederal spending (USAspending)name and state
Lobbying clientCODEXISFederal lobbying (LDA)name and state
Lobbying clientCODEXIS, INC.Federal lobbying (LDA)name and state
Lobbying clientCODEXIS, INC.Federal lobbying (LDA)name and state
Lobbying registrantCODEXIS, INC.Federal lobbying (LDA)name and state

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

Others with the same interests

SIC industry Industrial Organic Chemicals, CA first:

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In other datasets, the same topic (Health) in CA:

Interests: Industrial Organic Chemicals · Health