Codexis (CDXS) Form 3 Initial statement of insider ownership

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

VIVO VENTURES VII, LLC

(Last) (First) (Middle)

575 HIGH STREET, SUITE 201

(Street)

PALO ALTO CA 94301

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/20/2015

3. Issuer Name and Ticker or Trading Symbol
CODEXIS INC [ CDXS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	5,454,439	I(1)	Held by Vivo Ventures Fund VII, L.P.
Common Stock	118,880	I(2)	Held by Vivo Ventures VII Affiliates Fund, L.P.

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person^*

VIVO VENTURES VII, LLC

(Last) (First) (Middle)

575 HIGH STREET, SUITE 201

(Street)

PALO ALTO CA 94301

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Vivo Ventures Fund VII, L.P.

(Last) (First) (Middle)

575 HIGH STREET, SUITE 201

(Street)

PALO ALTO CA 94301

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Vivo Ventures VII Affiliates Fund, L.P.

(Last) (First) (Middle)

575 HIGH STREET, SUITE 201

(Street)

PALO ALTO CA 94301

(City) (State) (Zip)

Explanation of Responses:

1. These shares are owned directly by Vivo Ventures Fund VII, L.P. Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., and as such may be deemed to beneficially own these shares.

2. These shares are owned directly by Vivo Ventures VII Affiliates Fund, L.P. Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., and as such may be deemed to beneficially own these shares.

	/s/ Frank Kung, Managing Member	03/20/2015
	/s/ Frank Kung, Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures Fund VII, L.P.	03/20/2015
	/s/ Frank Kung, Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures VII Affiliates Fund, L.P.	03/20/2015
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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