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CODEXIS, INC. — Director's Dealing 2016
Sep 12, 2016
33607_dirs_2016-09-12_7f65523c-da7b-4ad8-8ffc-01d26e3255e8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CODEXIS INC (CDXS)
CIK: 0001200375
Period of Report: 2016-09-08
Reporting Person: VIVO VENTURES VII, LLC (10% Owner)
Reporting Person: Vivo Ventures Fund VII, L.P. (10% Owner)
Reporting Person: Vivo Ventures VII Affiliates Fund, L.P. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-08 | Common Stock | S | 109219.0000 | $4.2529 | Disposed | 5181885.0000 | Indirect |
| 2016-09-08 | Common Stock | S | 2381.0000 | $4.2529 | Disposed | 112940.0000 | Indirect |
Footnotes
F1: The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.10 to $4.40 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F2: These shares are owned directly by Vivo Ventures Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares.
F3: These shares are owned directly by Vivo Ventures Affliates Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares.