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| LEI | 549300KGLM6CDPTVSE20 |
| CIK | 1200375 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Codexis, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 13, 2025 |
As filed with the Securities and Exchange Commission on August 13, 2025 S-8 As filed with the Securities and Exchange Commission on August 13, 2025 Registration No. |
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| August 13, 2025 |
Second Amendment to the Codexis, Inc. 2019 Incentive Award Plan, as amended. SECOND AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN THIS SECOND AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN (this “Amendment”) is made and adopted by Codexis, Inc. a Delaware corporation (the “Company”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Plan (as defined below). RECITALS WHEREAS, the Company maintains th |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 13, 2025 |
Calculation of Filing Fee Tables S-8 CODEXIS, INC. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, par value $0.0001 per share Other 8,000,000 $ 2.78 $ 22,240,000.00 0.0001531 $ 3,404.94 Total Offering Am |
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| August 13, 2025 |
EX-99.1 Exhibit 99.1 Codexis Reports Second Quarter 2025 Financial Results Announces revenue of $15.3M vs $14.1M analyst consensus estimate Six presentations featured ECO Synthesis® platform at 2025 TIDES USA annual meeting, including three from leading CDMO collaborators $27.3M raised via ATM facility and Innovatus loan to support expansion of ECO Synthesis REDWOOD CITY, Calif., August 13, 2025 — |
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| June 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 14, 2025 |
EX-99.1 Exhibit 99.1 Codexis Reports First Quarter 2025 Financial Results Secured first revenue-generating contract for ECO Synthesis™ manufacturing services Company reiterates full-year financial guidance Six presentations to feature the ECO Synthesis platform at upcoming TIDES USA annual meeting, including three from leading CDMO collaborators REDWOOD CITY, Calif., May 14, 2025 — Codexis, Inc. ( |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| May 14, 2025 |
CONFIDENTIAL AMENDMENT NO. 1 TO AQUISITION AGREEMENT This amendment (“Amendment”) is entered into as of February 28, 2025 (the “Amendment Effective Date”) by and between Codexis, Inc., with offices at 200 Penobscot Dr., Redwood City, CA 94063 (“Seller” or “Codexis”) and Société des Produits Nestlé S.A., with offices at 55 Avenue Nestlé, 1800 Vevey, Switzerland (“Buyer” or “NHSc”). WHEREAS, Seller |
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| April 24, 2025 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 24, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 9, 2025 |
Codexis Announces Byron Dorgan to Retire from Board of Directors Exhibit 99.1 Codexis Announces Byron Dorgan to Retire from Board of Directors REDWOOD CITY, Calif., April 9, 2025 — Codexis, Inc. (NASDAQ: CDXS), a leading provider of enzymatic solutions for efficient and scalable therapeutics manufacturing, today announced that Byron Dorgan will retire from the Company’s Board of Directors when his current term ends at the 2025 Annual Meeting of Stockholders. Mr |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| February 27, 2025 |
EX-99.1 Exhibit 99.1 Codexis Reports Fourth Quarter and Fiscal Year 2024 Financial Results Total revenue of $59.3 million for the fiscal year ended December 31, 2024 Expect double digit growth for total revenue in 2025 2025 to demonstrate acceleration of commercial growth through double-stranded RNA ligase and GLP-grade siRNA material; expect to secure GMP scale-up partner REDWOOD CITY, Calif., Fe |
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| February 27, 2025 |
, by and between the Company and Metropolitan Life Insurance Company. [***] Certain marked information has been omitted from this exhibit because it is both not material and is the type that the Registrant treats as private or confidential. |
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| February 27, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 27, 2025 |
, 2024, by and between the Company and Innovatus Life Sciences Fund I, LP. SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Agreement”) is entered into as of December 20, 2024, by and among INNOVATUS LIFE SCIENCES LENDING FUND I, LP, a Delaware limited partnership (together with its successors and assigns, “Innovatus”), as collateral agent (in such capacity, together with its successors and assigns in such capacity, “Collateral Agent”), the Lenders listed on Schedule 1. |
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| February 27, 2025 |
INSIDER TRADING COMPLIANCE PROGRAM Approved by the Company’s Board of Directors on May 9, 2024 This Insider Trading Compliance Program (the “Program”) consists of six sections: Section I provides an overview; Section II sets forth Codexis, Inc. |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. |
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| February 27, 2025 |
and Consulting Agreement by and between the Company and Sriram Ryali dated October 16, 2024 [*] = CERTAIN MARKED INFORMATION HAS BEEN OMITTED FROM THIS EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
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| January 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2025 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 12, 2024 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF CODEXIS, INC. (a Delaware corporation) November 7, 2024 TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES FOR BUSINESS BROUGHT BEFORE A MEETING 2 2.5 ADVANCE NOTICE PROCED |
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| October 31, 2024 |
Change in Control Severance Agreement by and between the Company and CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between Alison Moore (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S AIt is expected that the Comp |
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| October 31, 2024 |
Exhibit 99.1 Codexis Reports Third Quarter 2024 Financial Results Quarter Highlights Include Key Additions to Management Team and Extension of Cash Runway into 2027 with $31M Raise via ATM Facility Company Reiterates Full-year Financial Guidance; On Track to Achieve Product Revenue Growth of at Least 10% vs. FY2023 Excluding Enzyme Sales Related to PAXLOVID™ REDWOOD CITY, Calif., October 31, 2024 |
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| October 31, 2024 |
Offer Letter by and between the Company and Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com September 19, 2024 Dr. Alison Moore, Ph.D. Dear Alison, On behalf of Codexis, Inc. (“Codexis” or the “Company”), I am pleased to extend to you this offer of employment as Executive Vice President, Chief Technical Officer reporting to Stephen Dilly, Chairman, President and Chief Ex |
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| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| October 31, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 31, 2024 |
Offer Letter by and between the Company and Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com September 30, 2024 Georgia Erbez Dear Georgia, On behalf of Codexis, Inc. (“Codexis” or the “Company”), I am pleased to extend to you this offer of employment as Chief Financial Officer reporting to Stephen Dilly, Chairman, President and Chief Executive Officer (the “CEO”). Your p |
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| October 31, 2024 |
FIRST AMENDMENT TO CODEXIS, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN WHEREAS, Codexis, Inc., a Delaware corporation (the “Company”), has heretofore adopted the Codexis, Inc. 2023 Employee Stock Purchase Plan (the “Plan”); and WHEREAS, the Company wishes to amend the Plan to allow participants under the Plan to increase or decrease the amount of payroll deductions elected by such participants during |
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| October 31, 2024 |
Change in Control Severance Agreement by and between the Company and CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between Georgia Erbez (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S A.It is expected that the Co |
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| October 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File N |
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| September 26, 2024 |
CDXS / Codexis, Inc. / Casdin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| September 18, 2024 |
CDXS / Codexis, Inc. / Opaleye Management Inc. Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Codexis Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) James Silverman, One Boston Place, 26th Floor, Boston, MA 02108 (Name, Address, and Telephone Number |
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| August 9, 2024 |
As filed with the Securities and Exchange Commission on August 9, 2024 As filed with the Securities and Exchange Commission on August 9, 2024 Registration No. |
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| August 9, 2024 |
Codexis, Inc. 2024 Inducement Plan. Exhibit 4.1 CODEXIS, INC. 2024 INDUCEMENT PLAN 1. PURPOSE OF PLAN The purpose of this Codexis, Inc. 2024 Inducement Plan (this “Plan”) of Codexis, Inc., a Delaware corporation (the “Company”), is to advance the interests of the Company by providing a material inducement for the best available individuals to join the Company and its Subsidiaries as employees by affording such individuals an opportu |
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| August 9, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 pe |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 8, 2024 |
CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
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| August 8, 2024 |
Exhibit 99.1 Codexis Reports Second Quarter 2024 Financial Results Company Reiterates Full-year Financial Guidance; On Track to Achieve Product Revenue Growth of at Least 10% vs. FY2023 Excluding Enzyme Sales Related to PAXLOVID™ Anticipate Entering First Technical Collaboration for ECO Synthesis™ Manufacturing Platform by End of Year REDWOOD CITY, Calif., August 8, 2024 - Codexis, Inc. (NASDAQ: C |
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| August 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| July 12, 2024 |
CDXS / Codexis, Inc. / Opaleye Management Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Codexis Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) James Silverman, One Boston Place, 26th Floor, Boston, MA 02108 (Name, Address, and Telephone Number of Person Authorized to Re |
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| June 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 14, 2024 |
Up to $75,000,000 Codexis, Inc. Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No.333-279082 PROSPECTUS Up to $75,000,000 Codexis, Inc. Common Stock We have entered into a Controlled Equity OfferingSM sales agreement, or the sales agreement, with Cantor Fitzgerald & Co., or Cantor, relating to the sale of shares of our common stock, par value $0.0001 per share, offered by this prospectus. In accordance with the |
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| May 14, 2024 |
Codexis Presents Groundbreaking Enzymatic Synthesis Data at TIDES USA Annual Meeting Exhibit 99.1 Codexis Presents Groundbreaking Enzymatic Synthesis Data at TIDES USA Annual Meeting REDWOOD CITY, Calif., May 14, 2024 — Codexis, Inc. (NASDAQ: CDXS), a leading enzyme engineering company, today announced it has successfully synthesized an oligonucleotide via an enzymatic route to support RNA-based therapeutics manufacturing. Data highlighting this historic manufacturing milestone ar |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 10, 2024 |
CODEXIS, INC. 200 Penobscot Drive Redwood City, California 94063 (650) 421-8100 May 10, 2024 CODEXIS, INC. 200 Penobscot Drive Redwood City, California 94063 (650) 421-8100 May 10, 2024 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Benjamin Richie Re: Codexis, Inc. Registration Statement on Form S-3 File No. 333-279082 Acceleration Request Requested Date: May 14, 2024 Requested Time: 9:00 A |
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| May 2, 2024 |
Exhibit 99.1 Codexis Reports First Quarter 2024 Financial Results Q1 Total Revenue Up 32% Year-over-year, Including Product Revenue Up 14%; Company Reiterates 2024 Financial Guidance First Substantial Order for dsRNA Ligase Received from Large Pharma Customer Company is in Final Stages of Enzymatically Synthesizing a Full-Length Oligonucleotide with ECO Synthesis™ Manufacturing Platform and will P |
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| May 2, 2024 |
Exhibit 1.2 Codexis, Inc. Shares of Common Stock (par value $0.0001 per share) Controlled Equity OfferingSM Sales Agreement May 2, 2024 Cantor Fitzgerald & Co. 110 East 59th Street, 6th Floor New York, NY 10022 Ladies and Gentlemen: Codexis, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as follows: 1. Issuance an |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| May 2, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry For |
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| May 2, 2024 |
Exhibit 4.2 CODEXIS, INC. INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 2 Section 1.1. Definitions 2 Section 1.2. Other Definitions 5 Section 1.3. Incorporation by Reference of Trust Indenture Act 6 Section 1.4. Rules of Construction 6 ARTICLE II. THE SECURITIES 6 Section 2.1. Issuable in Series 6 Section 2.2. Establishment of T |
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| May 2, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 2, 2024 |
As filed with the Securities and Exchange Commission on May 2, 2024 Table of Contents As filed with the Securities and Exchange Commission on May 2, 2024 Registration No. |
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| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 25, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| March 6, 2024 |
Letter from BDO USA, P.C., dated March 5, 2024 Exhibit 16.1 March 5, 2024 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on February 29, 2024, to be filed by our former client, Codexis, Inc. We agree with the statements made in response to that Item insofar as they relate to our Firm. Very truly yours, /s/ BDO US |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 28, 2024 |
[*] = CERTAIN MARKED INFORMATION HAS BEEN OMITTED FROM THIS EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
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| February 28, 2024 |
Societé des Produits Nestlé S.A., formerly known as Nestec Ltd. ("Nestlé Health Science"), CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
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| February 28, 2024 |
Exhibit 99.1 Codexis Reports Fourth Quarter and Fiscal Year 2023 Financial Results Anticipate 2024 Product Revenue Growth of at Least 10% vs. 2023 Excluding Enzyme Sales Related to PAXLOVID™ Recently Announced Debt Financing Reinforces Strong Financial Position with Projected Runway Through Expected Positive Cash-flow Around End of 2026 2024 to Focus on Securing Early Access Customers for ECO Synt |
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| February 28, 2024 |
Exhibit 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 28, 2024, Codexis, Inc. (“we,” “us” or “our”) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock, $0.0001 par value per share (“common stock”). Description of Common Stock The followi |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 28, 2024 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. |
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| February 28, 2024 |
odexis, Inc. Clawback Policy effective August CODEXIS, INC. POLICY ON RECOUPMENT OF INCENTIVE COMPENSATION Introduction The Board of Directors (the “Board”) of Codexis, Inc. (the “Company”) has adopted this Policy on Recoupment of Incentive Compensation (this “Policy”), which provides for the recoupment of compensation in certain circumstances in the event of a restatement of financial results by the Company. This Policy shall be interpreted |
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| February 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 14, 2024 |
CDXS / Codexis, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 13, 2024 |
Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED (I) UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR (II) WITHOUT AN OPINION OF COUNSEL, IN FORM AND |
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| February 13, 2024 |
CDXS / Codexis, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Codexis Inc Title of Class of Securities: Common Stock CUSIP Number: 192005106 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13 |
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| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 9, 2024 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF CODEXIS, INC. (a Delaware corporation) February 8, 2024 TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES FOR BUSINESS BROUGHT BEFORE A MEETING 2 2.5 ADVANCE NOTICE PROCED |
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| February 9, 2024 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| January 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2024 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numb |
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| December 27, 2023 |
Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 27, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 3, 2023 |
ASSIGNMENT AND ASSUMPTION OF LEASE This ASSIGNMENT AND ASSUMPTION OF LEASE (this “Assignment”) is executed as of September 1, 2023 by and between CODEXIS, INC, a Delaware corporation (“Assignor”) and VAXCYTE, INC. |
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| November 3, 2023 |
CONSENT TO ASSIGNMENT AND FIRST AMENDMENT This Consent to Assignment and First Amendment (this “Consent”) is made as of September , 2023, by ARE-SAN FRANCISCO NO. |
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| November 3, 2023 |
Material Impairments, Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 (July 20, 2023) Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of |
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| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| November 2, 2023 |
Exhibit 99.1 Codexis Reports Third Quarter 2023 Financial Results Company Remains on Track to Demonstrate Gram-Scale Synthesis with ECO Synthesis™ Platform for RNAi Therapeutics Production by End of Year Strong Financial Position Enables Projected Runway to Expected Positive Cash Flow Around End of 2026 Company to Host Virtual ECO Synthesis™ Platform-Focused KOL Event on December 8, 2023, featurin |
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| November 2, 2023 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 22, 2023 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File N |
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| September 22, 2023 |
Amended and Restated Bylaws of Codexis, Inc., effective as of September 21, 2023 Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF CODEXIS, INC. (a Delaware corporation) September 21, 2023 TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES FOR BUSINESS BROUGHT BEFORE A MEETING 2 2.5 ADVANCE NOTICE PROC |
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| September 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 1, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 3, 2023 |
CERTIFICATE OF AMENDMENT TO NINTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CODEXIS, INC. |
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| August 3, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par |
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| August 3, 2023 |
As filed with the Securities and Exchange Commission on August 3, 2023 S-8 As filed with the Securities and Exchange Commission on August 3, 2023 Registration No. |
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| August 3, 2023 |
Exhibit 10.1 CODEXIS, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN ARTICLE 1 PURPOSE The Plan’s purpose is to assist employees of the Company and its Designated Subsidiaries in acquiring a stock ownership interest in the Company, and to help such employees provide for their future security and to encourage them to remain in the employment of the Company and its Subsidiaries. The Plan consists of two com |
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| August 3, 2023 |
Exhibit 99.1 Codexis Reports Second Quarter 2023 Financial Results Company Recently Announced Enhanced Strategic Focus and Portfolio Prioritization Anticipate Demonstrating Gram-Scale Synthesis of ECO Synthesis™ Technology for RNAi Therapeutics Production by End of Year Projected Cash Runway to Mid-2026 Funds Important ECO Synthesis™ Milestones Through Commercialization REDWOOD CITY, Calif., Augus |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 3, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 3, 2023 |
AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN THIS AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN (this “Amendment”) is made and adopted by Codexis, Inc. a Delaware corporation (the “Company”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Plan (as defined below). RECITALS WHEREAS, the Company maintains the Codexis, Inc |
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| August 3, 2023 |
As filed with the Securities and Exchange Commission on August 3, 2023 As filed with the Securities and Exchange Commission on August 3, 2023 Registration No. |
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| July 20, 2023 |
Exhibit 99.1 Codexis Announces Enhanced Strategic Focus and Extends Projected Cash Runway to Mid-2026 Organization Streamlined to Focus on Continued Advancement and Commercialization of ECO Synthesis™ Platform for RNAi Therapeutics Production Codexis Expects its Pharmaceutical Manufacturing Business to Return to Growth in 2024 Company Reiterates 2023 Product Revenue Guidance and Announces Prelimin |
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| July 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 16, 2023 |
Codexis, Inc. 2023 Employee Stock Purchase Plan. EX-10.1 Exhibit 10.1 CODEXIS, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN ARTICLE 1 PURPOSE The Plan’s purpose is to assist employees of the Company and its Designated Subsidiaries in acquiring a stock ownership interest in the Company, and to help such employees provide for their future security and to encourage them to remain in the employment of the Company and its Subsidiaries. The Plan consists of |
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| June 16, 2023 |
Amendment to the Codexis, Inc. 2019 Incentive Award Plan. EX-10.2 Exhibit 10.2 AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN THIS AMENDMENT TO THE CODEXIS, INC. 2019 INCENTIVE AWARD PLAN (this “Amendment”) is made and adopted by Codexis, Inc. a Delaware corporation (the “Company”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Plan (as defined below). RECITALS WHEREAS, the Company maint |
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| June 16, 2023 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO NINTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CODEXIS, INC. The undersigned duly authorized officer of Codexis, Inc., a Delaware corporation, hereby certifies the following: ONE: The original name of this corporation is Codexis, Inc. and the date of filing the original Certificate of Incorporation of this corporation with the Secretary of |
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| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 4, 2023 |
March 13, 2023 CODEXIS, INC. 200 Penobscot Drive Redwood City, CA 94063 Attn: Sri Ryali, CFO FAX: [***] EMAIL: [***] Loan Number: 121143260 Borrower: Codexis, Inc. Reference is made to that certain Loan and Security Agreement, dated June 30, 2017, by and between Western Alliance Bank, an Arizona corporation (“Bank”) and Codexis, Inc., a Delaware corporation ("Borrower") (as amended from time to ti |
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| May 4, 2023 |
Exhibit 99.1 Codexis Reports First Quarter 2023 Financial Results CDX-7108 Clinical Development Program Remains on Track Estimated Cash Runway Through End of 2024 Funds Important Upcoming Milestones Company Reiterates 2023 Total Revenue Guidance with Adjustments to Product vs. R&D Revenue Mix and Range on Gross Margin REDWOOD CITY, Calif., May 4, 2023 - Codexis, Inc. (NASDAQ: CDXS), a leading enzy |
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| May 4, 2023 |
As filed with the Securities and Exchange Commission on May 4, 2023 POS EX As filed with the Securities and Exchange Commission on May 4, 2023 Registration No. |
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| May 4, 2023 |
AMENDMENT NO. 3 TO ENZYME SUPPLY AGREEMENT This Amendment No. 3 to Enzyme Supply Agreement (this “Amendment”) is made as of March 30, 2023 (the “Amendment Effective Date”), between Codexis, Inc., a Delaware corporation having its principal offices at 200 Penobscot Drive, Redwood City, California 94063 (“Codexis”) and Pfizer Ireland Pharmaceuticals, an Ireland corporation, with its principal place |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| April 27, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 27, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 17, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): March 29, 2023 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| February 28, 2023 |
As filed with the Securities and Exchange Commission on February 27, 2023 POS AM 1 d377820dposam.htm POS AM Table of Contents As filed with the Securities and Exchange Commission on February 27, 2023 Registration No. 333-255926 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 2 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CODEXIS, INC. (Exact name of Registrant as specified in its charter) Delawa |
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| February 27, 2023 |
December 27, 2022 Sri Ryali Dear Sri, Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com On behalf of Codexis, Inc. (“Codexis” or the “Company”), I am pleased to extend to you this offer of employment as Chief Financial Officer reporting to Stephen Dilly, President and Chief Executive Officer. Your position is a full-time and exem |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. |
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| February 27, 2023 |
Execution Version AMENDMENT NO. 1 TO ENZYME SUPPLY AGREEMENT This Amendment No. 1 to Enzyme Supply Agreement (this “Amendment No. 1”) is made as of December 19, 2022 (the “Amendment No. 1 Effective Date”), between Codexis, Inc., a Delaware corporation having its principal offices at 200 Penobscot Drive, Redwood City, California 94063 (“Codexis”) and Pfizer Ireland Pharmaceuticals, an Irish corpora |
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| February 27, 2023 |
As filed with the Securities and Exchange Commission on February 27, 2023 POSASR 1 d466048dposasr.htm POSASR Table of Contents As filed with the Securities and Exchange Commission on February 27, 2023 Registration No. 333-255926 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CODEXIS, INC. (Exact name of Registrant as specified in its charter) Delaw |
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| February 27, 2023 |
EX-FILING FEES Exhibit 107.1 Calculation of Filing Fee Tables Form S-3 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registrat |
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| February 27, 2023 |
CODEXIS, INC. INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is effective as of December 16, 2022, by and between Codexis, Inc., a Delaware corporation (the “Company”), and [INDEMNITEE] (“Indemnitee”). A.The Company recognizes the continued difficulty in obtaining liability insurance for its directors, officers, employees, controlling persons, fiduciaries and other agents a |
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| February 27, 2023 |
CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between Sri Ryali (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S A.It is expected that the Compan |
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| February 27, 2023 |
TRANSITION AND SEPARATION AGREEMENT This Transition and Separation Agreement (the “Agreement”) by and between Ross Taylor (“Executive”) and Codexis, Inc. |
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| February 27, 2023 |
CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between Margaret Fitzgerald (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S A.It is expected that |
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| February 27, 2023 |
CONFIDENTIAL Certain information is this document, marked by brackets, has been omitted because it is both (i) not material and (ii) is the type that the registrant treats as private or confidential. |
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| February 27, 2023 |
Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com October 5, 2022 Margaret Fitzgerald Dear Margaret, On behalf of Codexis, Inc. (“Codexis” or the “Company”), I am pleased to extend to you this offer of employment as Chief Legal and Compliance Officer reporting to Stephen Dilly, President and CEO. Your position is a full-time and |
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| February 27, 2023 |
AMENDMENT NO. 2 TO ENZYME SUPPLY AGREEMENT This Amendment No. 2 to Enzyme Supply Agreement (this “Amendment”) is made as of February 1, 2023 (the “Amendment Effective Date”), between Codexis, Inc., a Delaware corporation having its principal offices at 200 Penobscot Drive, Redwood City, California 94063 (“Codexis”) and Pfizer Ireland Pharmaceuticals, an Ireland corporation, with its principal plac |
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| February 23, 2023 |
Exhibit 99.1 Codexis Reports Fourth Quarter and Fiscal Year 2022 Financial Results Biotherapeutics Application of CodeEvolver® Validated by Recent Data Supporting the Potential for Three Upcoming Investigational New Drug Applications Cash Runway Through End of 2024 Funds Important Upcoming Milestones Company Provides 2023 Revenue Guidance REDWOOD CITY, Calif., February 23, 2023 (GLOBE NEWSWIRE) - |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 23, 2023 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 14, 2023 |
CDXS / Codexis, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment SC 13G/A 1 tm236168d21sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check th |
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| February 14, 2023 |
CDXS / Codexis, Inc. / Casdin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 10, 2023 |
CDXS / Codexis, Inc. / ARK Investment Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 9, 2023 |
CDXS / Codexis, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Codexis Inc. Title of Class of Securities: Common Stock CUSIP Number: 192005106 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 1 |
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| February 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| January 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2023 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| January 9, 2023 |
Exhibit 99.3 CODEXIS, INC. 2022 EMPLOYMENT INDUCEMENT AWARD PLAN RESTRICTED STOCK UNIT AWARD GRANT NOTICE Codexis, Inc., a Delaware corporation (the “Company”), pursuant to its 2022 Employment Inducement Award Plan, as amended from time to time (the “Plan”), hereby grants to the individual listed below (“Participant”), an award of restricted stock units (“Restricted Stock Units” or “RSUs”). Each R |
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| January 9, 2023 |
Exhibit 99.2 CODEXIS, INC. 2022 EMPLOYMENT INDUCEMENT AWARD PLAN STOCK OPTION GRANT NOTICE Codexis, Inc., a Delaware corporation, (the “Company”), pursuant to its 2022 Employment Inducement Award Plan, as amended from time to time (the “Plan”), hereby grants to the holder listed below (“Participant”), an option to purchase the number of shares of the Company’s common stock, par value $0.0001 (“Sto |
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| January 9, 2023 |
As filed with the Securities and Exchange Commission on January 9, 2023 As filed with the Securities and Exchange Commission on January 9, 2023 Registration No. |
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| January 9, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Codexis, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par |
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| January 9, 2023 |
2022 Employment Inducement Award Plan Exhibit 99.1 CODEXIS, INC. 2022 EMPLOYMENT INDUCEMENT AWARD PLAN ARTICLE 1. PURPOSE The purpose of the Codexis, Inc. 2022 Employment Inducement Award Plan (as it may be amended or restated from time to time, the “Plan”) is to promote the success and enhance the value of Codexis, Inc. (the “Company”) by providing flexibility to the Company in its ability to motivate, attract, and retain the service |
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| December 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 4, 2022 |
CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between Kevin Norrett (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S A.It is expected that the Co |
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| November 4, 2022 |
Enzyme Supply Agreement by and between the Company and Pfizer Ireland Pharmaceuticals, CONFIDENTIAL Certain information is this document, marked by brackets, has been omitted because it is both (i) not material and (ii) is the type that the registrant treats as private or confidential. |
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| November 4, 2022 |
EXECUTION COPY TRANSITION AND SEPARATION AGREEMENT This Transition and Separation Agreement (the “Agreement”) by and between John Nicols (“Executive”) and Codexis, Inc. |
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| November 4, 2022 |
Employment Agreement This Employment Agreement (the “Agreement”), dated as of August 9, 2022 (the “Effective Date”), is made by and between Codexis, Inc. |
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| November 4, 2022 |
Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com September 12, 2022 Kevin Norrett Dear Kevin, On behalf of Codexis, Inc. (“Codexis” or the “Company”), I am pleased to extend to you this offer of employment as Chief Operating Officer reporting to Stephen Dilly, President and CEO. Your position is a full-time and exempt from overt |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| November 3, 2022 |
Exhibit 99.1 Codexis Reports Third Quarter 2022 Financial Results Reiterates 2022 Total Revenue Guidance of $135M-$141M, Including Product Revenues of $112M-$118M REDWOOD CITY, Calif., November 3, 2022 - Codexis, Inc. (NASDAQ: CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced financial results for the third quarter ended September 30, 2022 and p |
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| November 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 5, 2022 |
EXECUTION COPY PLATFORM TECHNOLOGY TRANSFER, COLLABORATION AND LICENSE AGREEMENT BY AND BETWEEN CODEXIS, INC. |
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| August 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 4, 2022 |
Exhibit 99.1 Codexis Reports Second Quarter 2022 Financial Results Total Revenue up 51% and Product Revenue up 135% YOY 2022 Total Revenue Guidance of $135M-$141M, Including Product Revenues of $112M-$118M REDWOOD CITY Calif., August 4, 2022 - Codexis, Inc. (NASDAQ: CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced financial results for the seco |
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| July 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 14, 2022 |
Exhibit 99.1 Codexis Announces Preliminary Second Quarter 2022 Results and Updates Guidance Final financial results for the second quarter to be reported on August 4, 2022 REDWOOD CITY, Calif., July 14, 2022 ? Codexis, Inc. (NASDAQ: CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced preliminary revenue results for the second quarter ending June 3 |
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| July 14, 2022 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 16, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| May 5, 2022 |
Exhibit 99.1 Codexis Reports First Quarter 2022 Financial Results Total Revenue up 96% and Product Revenue up 200% YOY; Product Gross Margin Expands to 72% Reiterating Guidance for 2022, Including Total Revenue of $152 - $158M REDWOOD CITY Calif., May 5, 2022 ? Codexis, Inc. (Nasdaq: CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced financial re |
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| May 5, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2022 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 28, 2022 |
DEF 14A 1 d335748ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| February 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. (Ex |
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| February 28, 2022 |
[***] Certain information in this document, indicated by brackets, has been excluded pursuant to Regulation S-K, Item 601(b)(10)(iv). |
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| February 28, 2022 |
Exhibit 4.3 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 28, 2022, Codexis, Inc. (?we,? ?us? or ?our?) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock, $0.0001 par value per share (?common stock?). Description of Common Stock The followi |
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| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 24, 2022 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 24, 2022 |
Q4 & FY?2021 Results February 24, 2022 We engineer enzymes to improve health? of people and the planet ? These slides and any accompanying oral presentation contain forward-looking statements that involve risks and uncertainties. |
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| February 24, 2022 |
Exhibit 99.1 Codexis Reports Fourth Quarter and Fiscal Year 2021 Financial Results Record Annual Total Revenue of $104.8M, Representing Eighth Consecutive Year of Revenue Growth Company Guides to 2022 Total Revenues of $152-$158M; Product Revenues of $112-$118M REDWOOD CITY Calif., February 24, 2022 ? Codexis, Inc. (Nasdaq:CDXS), a leading enzyme engineering company enabling the promise of synthet |
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| February 10, 2022 |
CDXS / Codexis, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) January 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 9, 2022 |
CDXS / Codexis, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Codexis Inc. Title of Class of Securities: Common Stock CUSIP Number: 192005106 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1 |
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| February 9, 2022 |
CDXS / Codexis, Inc. / ARK Investment Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 10, 2022 |
CDXS / Codexis, Inc. / ARK Investment Management LLC - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 5, 2021 |
[***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| November 5, 2021 |
Exhibit 10.2 NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS NINTH AMENDMENT to Loan and Security Agreement (this ?Amendment?) is made effective as of September 30, 2021 (the ?Amendment Date?) and made by and among WESTERN ALLIANCE BANK, an Arizona corporation (?Bank?) and CODEXIS, INC., a Delaware corporation (?Borrower?). WHEREAS, Bank and Borrower have entered into that certain Loan and Sec |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 4, 2021 |
Exhibit 99.1 Codexis Reports Third Quarter 2021 Financial Results Record Quarterly Total Revenue, Product Revenue and Product Gross Margin Reiterating Total Revenue Guidance of $98-103M; Raising Product Revenue Guidance to $63-66M REDWOOD CITY Calif., November 4, 2021 ? Codexis, Inc. (Nasdaq:CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced fina |
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| October 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 9, 2021 |
Codexis and Merck Amend and Extend Supply Agreement for Enzyme Used in Manufacture of Sitagliptin Exhibit 99.1 Codexis and Merck Amend and Extend Supply Agreement for Enzyme Used in Manufacture of Sitagliptin REDWOOD CITY, Calif., September 9, 2021 - Codexis, Inc. (Nasdaq: CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, announced the amendment and extension of its agreement with Merck, known as MSD outside the United States and Canada, to license and supp |
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| August 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 5, 2021 |
Exhibit 99.1 Codexis Reports Second Quarter 2021 Financial Results Record Product Revenue of $14.7M, up 227% YOY Record Product Gross Margin of 71% Company Raises Guidance for 2021 Total Revenue to $98 - 103 M and 2021 Product Revenue to $59 - 63 M REDWOOD CITY Calif., August 5, 2021 ? Codexis, Inc. (Nasdaq:CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, toda |
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| August 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| July 9, 2021 |
CDXS / Codexis, Inc. / ARK Investment Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| June 17, 2021 |
Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 7, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on May 7, 2021 Registration No. |
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| May 7, 2021 |
[***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). |
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| May 7, 2021 |
The date of this prospectus supplement is May 7, 2021 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255926 PROSPECTUS SUPPLEMENT (To prospectus dated May 7, 2021) Up to $50,000,000 Common Stock We have entered into an Equity Distribution Agreement, or the Equity Distribution Agreement, with Piper Sandler & Co., or Piper Sandler, relating to shares of our common stock offered by this prospectus supplement and the accomp |
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| May 7, 2021 |
Exhibit 1.1 CODEXIS, INC. EQUITY DISTRIBUTION AGREEMENT May 7, 2021 PIPER SANDLER & CO. U.S. Bancorp Center 800 Nicollet Mall Minneapolis, Minnesota 55402 Ladies and Gentlemen: As further set forth in this agreement (this ?Agreement?), Codexis, Inc., a company organized under the laws of Delaware (the ?Company?), proposes to issue and sell from time to time through Piper Sandler & Co. (the ?Agent? |
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| May 7, 2021 |
Exhibit 4.7 CODEXIS, INC. INDENTURE Dated as of , 20 [ ], Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 5 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Series 5 Section 2.2. Establishment of |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| May 7, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 6, 2021 |
Exhibit 99.1 Codexis Reports First Quarter 2021 Financial Results Total Revenue up 23% and Product Revenue Doubles Year over Year REDWOOD CITY Calif., May 6, 2021 ? Codexis, Inc. (Nasdaq:CDXS), a leading enzyme engineering company enabling the promise of synthetic biology, today announced financial results for the first quarter ended March 31, 2021 and provided a business update. ?Codexis? growth |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. (Ex |
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| February 25, 2021 |
Q4 & FY?2020 Results February 25, 2021 We engineer enzymes to improve health? of people and the planet ? These slides and any accompanying oral presentation contain forward-looking statements that involve risks and uncertainties. |
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| February 25, 2021 |
Exhibit 99.1 Codexis Reports Fourth Quarter and Fiscal Year 2020 Financial Results Strong Product Revenue Momentum in Second Half of 2020 Drives Company’s Seventh Consecutive Year of YOY Revenue Growth Full Year Product Gross Margin Exceeds 50% for the First Time in Company’s History Company Guides to 2021 Total Revenues of $82-85M, Product Revenues of $36-39M REDWOOD CITY Calif., February 25, 202 |
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| February 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 25, 2021 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File N |
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| February 16, 2021 |
SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 value per share (Title of Class of Securities) 192005106 (CUSIP Number) John Nicols c/o Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 (Name, Address and Telephone Number of P |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 12, 2021 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on the Schedule 13G filed herewith (and any amendments thereto), relating to the common stock of Codexis, Inc. is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934, as amended, on behalf of each of the undersigned. This Agreement may |
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| February 12, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 3)* Codexis, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) December 31, 2020 (Date o |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 9, 2021 |
Entry into a Material Definitive Agreement - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2021 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| December 7, 2020 |
EX-1.1 Exhibit 1.1 Execution Version 4,285,715 Shares Codexis, Inc. UNDERWRITING AGREEMENT December 2, 2020 JEFFERIES LLC COWEN AND COMPANY, LLC STIFEL, NICOLAUS & COMPANY, INCORPORATED As Representatives of the several Underwriters c/o JEFFERIES LLC 520 Madison Avenue New York, New York 10022 c/o COWEN AND COMPANY, LLC 599 Lexington Avenue New York, NY 10022 c/o STIFEL, NICOLAUS & COMPANY, INCORP |
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| December 7, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| December 3, 2020 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228693 CALCULATION OF REGISTRATION FEE TITLE OF EACH CLASS OF SECURITIES TO BE REGISTERED AMOUNT TO BE REGISTERED(1) PROPOSED MAXIMUM OFFERING PRICE PER SHARE PROPOSED MAXIMUM AGGREGATE OFFERING PRICE AMOUNT OF REGISTRATION FEE(2) Common stock, par value $0.0001 per share 4,928,572 $17.50 $86,250,010.00 9,410 (1) Include |
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| December 2, 2020 |
Shares Codexis, Inc. Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228693 The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement relating to the securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying pr |
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| November 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| November 6, 2020 |
Exhibit 10.1 EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS EIGHTH AMENDMENT to Loan and Security Agreement (this “Amendment”) is made effective as of September 30, 2020 (the “Amendment Date”) and made by and among WESTERN ALLIANCE BANK, an Arizona corporation (“Bank”) and CODEXIS, INC., a Delaware corporation (“Borrower”). WHEREAS, Bank and Borrower have entered into that certain Loan and S |
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| November 5, 2020 |
Exhibit 99.1 Codexis Reports Third Quarter 2020 Financial Results Stronger than expected total revenues of $18.4 million delivered in the quarter Higher sequential sales expected again in the fourth quarter, showing growing momentum as we close 2020 Conference call begins at 4:30 p.m. Eastern time today REDWOOD CITY, Calif. (November 5, 2020) – Codexis, Inc. (Nasdaq: CDXS), a leading protein engin |
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| November 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, I |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 6, 2020 |
Exhibit 99.1 Codexis Reports Second Quarter 2020 Financial Results Revenues increased 21% to $15 million; 72% rise in R&D revenue included a significant contribution from the Takeda biotherapeutics partnership Conference call with slides begins at 4:30 p.m. Eastern time today REDWOOD CITY, Calif. (August 6, 2020) - Codexis, Inc. (Nasdaq: CDXS), a leading protein engineering company, announces fina |
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| June 22, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 8, 2020 |
Exhibit 10.1 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registration if publicly disclosed. STRATEGIC COLLABORATION AND LICENSE AGREEMENT This Strategic Collaboration and License Agreement (this “Agreement”) is made as of March 23, 2020 (the “Effec |
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| May 8, 2020 |
Exhibit 10.2 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registration if publicly disclosed. GlaxoSmithKline Intellectual Property Development Limited Letterhead 7th February 2020 Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Telephone: [ |
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| May 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codexis, |
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| May 7, 2020 |
Exhibit 99.1 Codexis Reports First Quarter 2020 Financial Results R&D revenue increased 26% to $9.6 million fueled by the Novartis and Takeda strategic collaborations Withdraws 2020 financial guidance due to uncertainty of COVID-19 potential impact Conference call begins at 4:30 pm Eastern time today REDWOOD CITY, Calif. (May 7, 2020) - Codexis, Inc. (Nasdaq: CDXS), a leading protein engineering c |
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| May 7, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2020 Codexis, Inc. (Exact name of registrant as specified in its charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 28, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 28, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): March 19, 2020 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| February 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No.: 001-34705 Codexis, Inc. (Ex |
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| February 28, 2020 |
Exhibit 21.1 Subsidiaries of Codexis, Inc. None. 1 1 In accordance with Item 601(b)(21)(ii) of Regulation S-K, the registrant has omitted from this exhibit the names of its subsidiaries which, considered in the aggregate or as a single subsidiary, do not constitute a significant subsidiary as defined in Rule 1-02(w) of Regulation S-X. |
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| February 28, 2020 |
Description of the Common Stock of Codexis, In Exhibit 4.3 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2019, Codexis, Inc. (“we,” “us” or “our”) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: our common stock, $0.0001 par value per share (“common stock”). Description of Common Stock The followi |
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| February 27, 2020 |
Exhibit 99.1 Codexis Reports 2019 Fourth Quarter and Full Year Financial Results 2019 total revenues increased 13% to $68.5 million with product revenue up 15% and R&D revenue up 11% Ten customers contributed more than $1 million each to 2019 revenues Introduces 2020 financial guidance Conference call with slides begins at 4:30 pm Eastern time today REDWOOD CITY, Calif. (February 27, 2020) – Codex |
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| February 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 27, 2020 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 27, 2020 |
codexisinvestorcallfeb27 Unlock the power of proteins TM February 27, 2020 Investor Call 4Q’19 and FY’19 Results; 2020 Guidance and Outlook Nasdaq: CDXS Forward-Looking Statements • These slides and the accompanying oral presentation contain forward-looking statements that involve risks and uncertainties. |
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| February 12, 2020 |
CDXS / Codexis, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Codexis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 192005106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| November 6, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): November 6, 2019 Codexis, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 001-34705 71-0872999 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 6, 2019 |
424B7 Filed Pursuant to Rule 424(b)(7) Registration No. 333-228693 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Amount of Registration Fee(2) Common Stock, par value $0.0001 3,048,780 $13.46 (3) $41,036,579 $5,327 (1) Pursuant to Rule 416 under the Se |
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| November 6, 2019 |
Exhibit 10.1A SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SIXTH AMENDMENT to Loan and Security Agreement (this “Amendment”) is made effective as of July 11, 2019 (the “Amendment Date”) and made by and among WESTERN ALLIANCE BANK, an Arizona corporation (“Bank”) and CODEXIS, INC., a Delaware corporation (“Borrower”). WHEREAS, Bank and Borrower have entered into that certain Loan and Securit |
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| November 6, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34705 Codex |
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| November 6, 2019 |
Codexis, Inc. 200 Penobscot Drive Redwood City, CA 94063 Tel: +1 (650) 421-8100 Fax: +1 (650) 421-8102 www.codexis.com Exhibit 10.3 August 4, 2019 Ross Taylor Via email: ############@###.## Dear Ross: On behalf of Codexis, I am pleased to extend to you this offer of employment as Senior Vice President, Chief Financial Officer reporting to John Nicols, President & CEO. Your position is a full-time |
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| November 6, 2019 |
Exhibit 10.2 CODEXIS, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) is made and entered into by and between (the “Executive”) and Codexis, Inc., a Delaware corporation (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). R E C I T A L S A.It is expected that the Com |
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| November 6, 2019 |
Exhibit 10.1B SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT to Loan and Security Agreement (this “Amendment”) is made effective as of September 30, 2019 (the “Amendment Date”) and made by and among WESTERN ALLIANCE BANK, an Arizona corporation (“Bank”) and CODEXIS, INC., a Delaware corporation (“Borrower”). WHEREAS, Bank and Borrower have entered into that certain Loan an |
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| November 6, 2019 |
Exhibit 10.4 June 28, 2019 John Nicols 200 Penobscot Drive Redwood City, CA 94063 Re: Amendment to Employment Agreement Dear John, You and Codexis, Inc. (the “Company”) are currently parties to an Employment Agreement, dated as of May 28, 2012, as amended on April 21, 2016 and November 16, 2017 (the “Employment Agreement”), which sets forth the terms of your employment with the Company and provide |
