SC 13G/A: CODEXIS, INC.

AI Summary

SC 13G/A filing by CODEXIS, INC..

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• formsc13ga.htm (SC 13G/A) — 84KB
• 0001493152-24-037005.txt ( ) — 85KB

From the Filing

SC 13G/A 1 formsc13ga.htm UNITED 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, 26 th Floor, Boston, MA 02108 (Name, Address, and Telephone Number of Person Authorized to Receive Notices and Communications) 09/17/2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: Rule 13d-1(b) Rule 13d-1(c) Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 192005106 13G Page 2 of 5 Pages Opaleye Management, Inc. 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 20-5648796 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 7,524,000 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 7,524,000 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,524,000 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.61% 12. TYPE OF REPORTING PERSON (see instructions) CO * Based upon 70,927,377 shares of common stock issued and outstanding on August 5, 2024, as reported by the Issuer in its quarterly statement on Form 10-Q filed with the Securities and Exchange Commission on August 8, 2024. This calculation does not include the exercise or conversion of outstanding securities of the Issuer. CUSIP No. 192005106 13G Page 3 of 5 Pages Item 1. (a) Name of Issuer: Codexis Inc. (the “Company”). (b) Address of Issuer’s Principal Executive Offices: 200 Penobscot Drive, Redwood City, CA 94063 Item 2. (a) Name of Person Filing Opaleye, L.P. (b) Address of the Principal Office or, if none, residence One Boston Place, 26 th Floor, Boston, MA 02108 (c) Citizenship is set forth in Row 4 of the cover page for each Reporting Person and is incorporated herein by reference for each such Reporting Person. (d) Title of Class of Securities Common Stock, $0.0001 par value per share (e) CUSIP Number 192005106 Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); (f) An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); (g) A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); (h) A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) Group, in accordance with §240.13d-1(b)(1)(ii)(J). CUSIP No. 192005106 13G Page 4 of 5 Pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 7,524,000 (b) Percent of class: 10.61% (c) Number of shares as to which the person has: 7,524,000 (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 7,524,000 (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 7,524,000 * Based upon 70,927,377 shares of common stock issued and outstanding on August 5, 2024, as reported by the Issuer on its

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