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As Of Filer Filing For·On·As Docs:Size Issuer Agent 12/28/09 Codexis Inc S-1 37:5.9M RR Donnelley/FA |
Document/Exhibit Description Pages Size
1: S-1 Registration Statement (General Form) HTML 1.99M
2: EX-3.1 Seventh Amended and Restated Certificate of HTML 118K
Incorporation
3: EX-3.3 Amended and Restated Bylaws of the Registrant, as HTML 148K
Currently in Effect
4: EX-4.2 Fifth Amended and Restated Investor Rights HTML 210K
Agreement
5: EX-4.3 Form of Warrant to Purchase Shares of Common Stock HTML 49K
6: EX-4.4 Warrant to Purchase Shares of Common Stock HTML 62K
7: EX-4.5 Form of Warrant to Purchase Shares of Series D HTML 54K
Preferred Stock - as of 5/25/2006
8: EX-4.6 Form of Warrant to Purchase Shares of Series D HTML 67K
Preferred Stock - as of 9/28/2007
9: EX-4.7 Warrant to Purchase Shares of Common Stock Issued HTML 80K
to Alexandria Equities, LLC
10: EX-4.8 Registration Rights Agreement HTML 73K
25: EX-10.10 2002 Stock Plan, as Amended, and Form of Stock HTML 220K
Option Agreement
26: EX-10.12A Offer Letter - Alan Shaw HTML 25K
27: EX-10.12B Change in Control Agreement - Alan Shaw HTML 103K
28: EX-10.13A Offer Letter Agreement - Robert S. Beuil HTML 27K
29: EX-10.13B Change in Control Agreement - Robert S. Breuil HTML 45K
30: EX-10.13C Separation Agreement - Robert S. Breuil HTML 62K
31: EX-10.14A Offer Letter Agreement - Douglas T. Sheehy HTML 33K
32: EX-10.14B Chang in Control Agreement - Douglas T. Sheehy HTML 103K
33: EX-10.15 Offer Letter Agreement - David L. Anton HTML 27K
34: EX-10.16 Employment Contract - Peter Seufer-Wasserthal HTML 41K
35: EX-10.18 Form of Indemnification Agreement HTML 55K
11: EX-10.1A Loan and Security Agreement HTML 314K
12: EX-10.1B First Amendment to Loan and Security Agreement HTML 45K
13: EX-10.2A License Agreement HTML 152K
14: EX-10.2B Amendment No. 1 to the Maxygen License HTML 77K
15: EX-10.2C Amendment No. 2 to the Maxygen License HTML 18K
16: EX-10.2D Amendment No. 3 to the Maxygen License HTML 75K
17: EX-10.2E Side Letter - Dated February 18, 2005. HTML 17K
18: EX-10.2F Side Letter - Dated September 11, 2007 HTML 20K
19: EX-10.2G Side Letter - Dated September 24, 2007 HTML 20K
20: EX-10.8A Lease Agreement HTML 305K
21: EX-10.8B Amendment to Lease Agreement - June 1, 2004 HTML 23K
22: EX-10.8C Amendment to Lease Agreement - March 9, 2007 HTML 71K
23: EX-10.8D Amendment to Lease Agreement - March 31, 2008 HTML 149K
24: EX-10.9 Master Security Agreement HTML 151K
36: EX-21 List of Subsidiaries HTML 13K
37: EX-23.1 Consent of Independent Public Accounting Firm HTML 12K
| Amendment No. 2 to the Maxygen License |
Exhibit 10.2C
AMENDMENT NO. 2 TO LICENSE AGREEMENT
This Amendment No. 2 (“Amendment No. 2”) amends that certain License Agreement effective March 28, 2002, entered into by and between Maxygen, Inc. (“MUS”) and Codexis, Inc. (“Codexis”), as amended by Amendment No. 1 to License Agreement effective September 13, 2002 (as amended, the “Agreement”), and shall be effective as of October 1, 2002. MUS and Codexis hereby amend the Agreement as follows:
1. Section 1.44 of the Agreement shall be amended to provide in its entirety, as follows:
1.44 “Separation Event” shall mean the earlier of (i) four (4) years after the Amendment Date, and (ii) the date upon which a Change of Control of Codexis occurs.
2. Article 1 is amended by the addition of the following new definition:
1.59 “Change of Control of Codexis” means (i) a dissolution or liquidation of Codexis; (ii) a sale of all or substantially all the assets of Codexis, (iii) any consolidation or merger of Codexis with or into any other corporation or other entity or person, or any other corporate reorganization, in which the stockholders of Codexis immediately prior to such consolidation, merger or reorganization, own less than fifty percent (50%) of the Company’s voting power immediately after such consolidation, merger or reorganization, excluding any consolidation, merger or reorganization effected exclusively to change the domicile of Codexis, or (iv) acquisition by any person, entity or group within the meaning of Section 13(d) or 14(d) of the Exchange Act, or any comparable successor provisions (other than MUS, CMEA Ventures Life Sciences 2000, L.P., Chevron Technology Ventures, LLC, Pequot Private Equity Fund III, L.P. and their respective Affiliates (collectively, the “Current Stockholders”, or any group including any Current Stockholder that does not include, within the reasonable discretion of Maxygen, a competitor of Codexis) of the beneficial ownership (within the meaning of Rule 13d-3 promulgated under the Exchange Act, or comparable successor rule) of securities of the Company such that after the acquisition the person, entity or group owns securities of Codexis representing at least fifty percent (50%) of the combined voting power entitled to vote in the election of directors.
3. Subsections 2.1.1(b)(i) and (ii) and 2.1.1(e)(i) and (ii) are amended to add the words “in the Codexis Field” as the last words of each such clause.
4. As soon as practicable after the date hereof, an Amended and Restated License Agreement will be prepared reflecting the amendments to the Agreement contained in this Amendment No. 2 and the September 13, 2002 amendment to the Agreement, without the need for any additional approval by the Board of Directors of Codexis or any member thereof.
IN WITNESS WHEREOF, MUS and Codexis have executed this Amendment No. 2 to License Agreement as of the first above written.
| MAXYGEN, INC. | CODEXIS, INC. | |||||||
| By: | By: | /s/ Alan Shaw | ||||||
| Name: | Name: | |||||||
| Title: | Chief Executive Officer |
Title: | President | |||||
2
| This ‘S-1’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 12/28/09 | None on these Dates | ||
| 10/1/02 | ||||
| 9/13/02 | ||||
| 3/28/02 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/24 Codexis, Inc. 10-K 12/31/23 121:13M 2/27/23 Codexis, Inc. 10-K 12/31/22 121:15M 2/28/22 Codexis, Inc. 10-K 12/31/21 111:16M 3/01/21 Codexis, Inc. 10-K 12/31/20 110:14M |