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SC 13G Filing
Codexis (CDXS) SC 13GCodexis Inc
Filed: 23 Mar 15, 12:00am
Codexis, Inc. |
(Name of Issuer) |
Common stock, par value $0.0001 per share |
(Title of Class of Securities) |
192005106 |
(CUSIP Number) |
March 20, 2015 |
(Date of Event which Requires Filing of this Statement) |
CUSIP No. 192005106 |
1 | Names of Reporting Persons Vivo Ventures VII, LLC |
2 | Check the appropriate box if a member of a Group (see instructions) (a) o (b) o |
3 | Sec Use Only |
4 | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | 5 | Sole Voting Power | |
6 | Shared Voting Power 5,573,319 | ||
7 | Sole Dispositive Power | ||
8 | Shared Dispositive Power 5,573,319 |
9 | Aggregate Amount Beneficially Owned by Each Reporting Person 5,573,319 |
10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions) o |
11 | Percent of class represented by amount in row (9) 14.04% |
12 | Type of Reporting Person (See Instructions) OO, PN |
CUSIP No. 192005106 |
1 | Names of Reporting Persons Vivo Ventures Fund VII, L.P. |
2 | Check the appropriate box if a member of a Group (see instructions) (a) o (b) o |
3 | Sec Use Only |
4 | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | 5 | Sole Voting Power | |
6 | Shared Voting Power 5,454,439 | ||
7 | Sole Dispositive Power | ||
8 | Shared Dispositive Power 5,454,439 |
9 | Aggregate Amount Beneficially Owned by Each Reporting Person 5,454,439 |
10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions) o |
11 | Percent of class represented by amount in row (9) 13.74% |
12 | Type of Reporting Person (See Instructions) PN |
CUSIP No. 192005106 |
1 | Names of Reporting Persons Vivo Ventures VII Affiliates Fund, L.P. |
2 | Check the appropriate box if a member of a Group (see instructions) (a) o (b) o |
3 | Sec Use Only |
4 | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | 5 | Sole Voting Power | |
6 | Shared Voting Power 118,880 | ||
7 | Sole Dispositive Power | ||
8 | Shared Dispositive Power 118,880 |
9 | Aggregate Amount Beneficially Owned by Each Reporting Person 118,880 |
10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions) o |
11 | Percent of class represented by amount in row (9) 0.30% |
12 | Type of Reporting Person (See Instructions) PN |
(a) | Name of Issuer: Codexis, Inc. |
(b) | Address of Issuer’s Principal Executive Offices: |
(a) | Name of Person Filing: |
(b) | Address of Principal Business Office or, if None, Residence: |
(c) | Citizenship: |
(d) | Title and Class of Securities: |
(e) | CUSIP No.: |
Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
(a) | o | Broker or dealer registered under Section 15 of the Act; |
(b) | o | Bank as defined in Section 3(a)(6) of the Act; |
(c) | o | Insurance company as defined in Section 3(a)(19) of the Act; |
(d) | o | Investment company registered under Section 8 of the Investment Company Act of 1940; |
(e) | o | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
(f) | o | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
(g) | o | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
(h) | o | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | o | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
(j) | o | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
(k) | o | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
(a) | Amount Beneficially Owned: |
(b) | Percent of Class: |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote: |
(ii) | Shared power to vote or to direct the vote: |
(iii) | Sole power to dispose or to direct the disposition of: |
(iv) | Shared power to dispose or to direct the disposition of: |
Item 5. | Ownership of Five Percent or Less of a Class. |
Item6. | Ownership of more than Five Percent on Behalf of Another Person. |
Item 7. | Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person. |
Item 8. | Identification and classification of members of the group. |
Item 9. | Notice of Dissolution of Group. |
Item 10. | Certifications. |
Vivo Ventures VII, LLC | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member |
Vivo Ventures Fund VII, L.P. | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures Fund VII, L.P. |
Vivo Ventures VII Affiliates Fund, L.P. | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures VII Affiliates Fund, L.P. |
Vivo Ventures VII, LLC | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member |
Vivo Ventures Fund VII, L.P. | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures Fund VII, L.P. |
Vivo Ventures VII Affiliates Fund, L.P. | ||
By: | /s/ Frank Kung | |
Name: Frank Kung | ||
Title: Managing Member of Vivo Ventures VII, LLC; General Partner of Vivo Ventures VII Affiliates Fund, L.P. |