18 unchanged sentences
There were no changes in our internal control over financial reporting (as defined in Rule 13a-15(f) of the Exchange Act) identified in connection with the evaluation required by paragraph (d) of Rule 13a-15 or 15d-15 of the Exchange Act, which occurred during the fourth fiscal quarter of the year ended December 31, 2020, which has materially affected, or is reasonably likely to materially affect, our internal control over financial reporting.
+Added: Because of the impact of COVID-19 shelter-in-place orders, we have made minor modifications to existing controls involving evidence of review-type controls.
+Added: Further, we implemented internal controls to ensure we adequately evaluated impairment of financial instruments and goodwill, respectively, in properly assessing and facilitating the impact and adoption on January 1, 2020 of ASU 2016-13, Financial Instruments - Credit Losses (Topic 326) and ASU No.
+Added: 2017-04, Intangibles - Goodwill and Other (Topic 350) :
+Added: Simplifying the Test for Goodwill Impairment .
+Added: There were no significant changes to our internal control over financial reporting due to the adoption of new standards.
OTHER INFORMATION
1 unchanged sentence
DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE
−Removed: The information required by this item concerning our directors, executive officers, compliance with Section 16 of the Exchange Act, our code of ethics and our Nominating and Corporate Governance Committee, and our Audit Committee is incorporated by reference from the information that will be set forth in the sections under the headings “Election of Directors,” “Other Matters—Section 16(a) Beneficial Ownership Reporting Compliance” and “Corporate Governance Matters” in our Definitive Proxy Statement to be filed with the Securities and Exchange Commission in connection with the Annual Meeting of Stockholders to be held in 2020 (the “2020 Proxy Statement”).
+Added: The information required by this item concerning our directors, executive officers, compliance with Section 16 of the Exchange Act, our code of ethics and our Nominating and Corporate Governance Committee, and our Audit Committee is incorporated by reference from the information that will be set forth in the sections under the headings “Election of Directors,” “Other Matters—Section 16(a) Beneficial Ownership Reporting Compliance” and “Corporate Governance Matters” in the 2021 Proxy Statement.
EXECUTIVE COMPENSATION
18 unchanged sentences
4.1 Reference is made to Exhibits 3.1 through 3.3.
−Removed: 4.2 Form of the Company’s Common Stock Certificate (incorporated by reference to Exhibit 4.1 to the Company’s Quarterly Report on F orm 10-Q for the quarter ended June 30, 2012, filed on August 9, 2012).
−Removed: 4.3 Description of the Common Stock of Codexis, In c.
+Added: 4.2 Form of the Company’s Common Stock Certificate (incorporated by reference to Exhibit 4.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed on August 9, 2012).
+Added: 4.3 Description of the Common Stock of Codexis, Inc.
+Added: (incorporated by re fer ence to Exhibit 4.3 to the Compan y's Annual Report on Form 10-K for the fiscal year ended December 31, 2019, filed on February 28, 2020).
10.1A* Lease Agreement by and between the Company and Metropolitan Life Insurance Company dated as of February 1, 2004.
7 unchanged sentences
10.1I*** Eighth Amendment to Lease, dated as of February 8, 2019, by and between the Company and Metropolitan Life Insurance Company (incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2019, filed on May 8, 2019).
−Removed: 10.2 Securities Purchase Agreement, dated as of June 20, 2019, by and between the Company and Casdin Partners Master Fund, L.P.
−Removed: (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed with the SEC on June 20, 2019).
−Removed: 10.3 Registration Rights Agreement, dated as of June 20, 2019, by and between the Company and Casdin Partners Master Fund, L.P.
−Removed: (incorporated by reference to Exhibit 10.2 to the Company's Current Report on Form 8-K filed with the SEC on June 20, 2019).
10.2+* Codexis, Inc.
−Removed: 2002 Stock Plan, as amended, and Form of Stock Option Agreement.
−Removed: 10.5+* Codexis, Inc.
2010 Equity Incentive Award Plan and Form of Stock Option Agreement.
21 unchanged sentences
KG dated as of March 9, 2012 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012, filed on May 10, 2012).
−Removed: 10.11+ Employment Agreement by and between the Company and Ross Taylor effective as of August 4, 2019 (incorporated by reference to Exhibit 10.
−Removed: 3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2019, filed on November 6, 2019).
+Added: 10.8+ Employment Agreement by and between the Company and Ross Taylor effective as of August 4, 2019 (incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2019, filed on November 6, 2019).
10.9A+ Employment Agreement by and between the Company and John Nicols effective as of May 28, 2012 (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed on August 9, 2012).
1 unchanged sentence
Nicols and the Company (incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed on August 9, 2012).
−Removed: 10.12C+ Amendment to Employment Agreement between the Company and John Nicols, dated April 21, 2016 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2016 , file d on Augu st 9, 2016 ).
+Added: 10.9C+ Amendment to Employment Agreement between the Company and John Nicols, dated April 21, 2016 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2016, filed on August 9, 2016).
10.9D+ Amendment to Employment Agreement between the Company and John Nicols, dated November 16, 2017 (incorporated by reference to Exhibit 10.8E to the Company’s Annual Report on Form 10-K for the year ended December 31, 2017, filed on March 15, 2018).
−Removed: 10.12E+ Amendment to Employment Agreement between the Company and John Nicols, effective as of June 28, 2019.
−Removed: (incorporated by reference to Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2019, filed on November 6, 2019).
+Added: 10.9E+ Amendment to Employment Agreement between the Company and John Nicols, effective as of June 28, 2019 , (incorporated by reference to Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2019, filed on November 6, 2019).
Sitagliptin Catalyst Supply Agreement by and between Merck Sharp and Dohme Corp.
11 unchanged sentences
(incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2016, filed on November 8, 2016).
−Removed: 10.14A† Global Development, Option and License Agreement by and among the Company, Societé des Produits Néstle S.A., formerly known as Nestec Ltd.
+Added: 10.11A† Global Development, Option and License Agreement by and among the Company, Societé des Produits Nestlé S.A., formerly known as Nestec Ltd.
(“Nestlé Health Science”), effective as of October 12, 2017 (incorporated by reference to Exhibit 10.10 to the Company’s Annual Report on Form 10-K for the year ended December 31, 2017 , filed on March 15, 2018 ) .
8 unchanged sentences
(incorporated by reference to Exhibit 10.12C to the Company’s Annual Report on Form 10-K for the year ended December 31, 2018, filed on March 3, 2019).
−Removed: 10.15† Platform Technology Transfer, Collaboration and License Agreement by and between the Company and GlaxoSmithKline Intellectual Property Limited, effective as of July 10, 2014 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 31, 2014, filed on November 6, 2014).
+Added: 10.12A† Platform Technology Transfer, Collaboration and License Agreement by and between the Company and GlaxoSmithKline Intellectual Property Limited, effective as of July 10, 2014 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 31, 2014, filed on November 6, 2014).
+Added: 10.12B† Letter Agreement, effective as of February 21, 2020, by and between Codexis, Inc.
+Added: and GlaxoSmithKline Intellectual Property Development Limited (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2020, filed on May 8, 2020).
10.13A† Platform Technology Transfer and License Agreement by and between the Company and Merck Sharp & Dohme Corp., dated as of August 3, 2015 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 31, 2015, filed on November 6, 2015).
4 unchanged sentences
10.14*** Platform Technology Transfer and License Agreement, dated May 2, 2019, by and between the Company and Novartis Pharma AG (incorporated by reference to Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2019, filed on August 6, 2019).
+Added: 10.15*** Strategic Collaboration and License Agreement by and between Shire Human Genetic Therapies, Inc., a wholly-owned subsidiary of Takeda Pharmaceutical Company Limited and the Company, dated March 23, 2020 (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2020, filed on May 8, 2020) .
10.16A† Loan and Security Agreement effective as of June 30, 2017 by and between the Company and Western Alliance Bank (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2017, filed on August 9, 2017).
−Removed: 10.18B† First Amendment to Loan and Security Agreement effective as of September 28, 2017 by and between the Company and Western Alliance Bank (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017 , filed on Novem ber 9, 2017 ).
+Added: 10.16B† First Amendment to Loan and Security Agreement effective as of September 28, 2017 by and between the Company and Western Alliance Bank (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017, filed on November 9, 2017).
10.16C† Second Amendment to Loan and Security Agreement effective as of November 7, 2017 by and between the Company and Western Alliance Bank (incorporated by reference to Exhibit 10.15B to the Company’s Annual Report on Form 10-K for the year ended December 31, 2017, filed on March 15, 2018).
4 unchanged sentences
10.16H Seventh Amendment to Loan and Security Agreement by and between the Company and Western Alliance Bank dated as of September 30, 2019 (incorporated by reference to Exhibit 10.1B to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2019, filed on November 6, 2019).
−Removed: 21.1 List of Subsidiaries.
+Added: 10.16I Eighth Amendment to Loan and Security Agreement by and between the Company and Western Alliance Bank dated as of September 30, 2020 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2020, filed on November 6, 2020.)
23.1 Consent of BDO USA, LLP, independent registered public accounting firm.
4 unchanged sentences
101 The following materials from Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2020 formatted in Inline Extensible Business Reporting Language (iXBRL) includes:
−Removed: (i) Consolidated Balance Sheets at December 31, 2019 and December 31, 2018, (ii) Consolidated Statements of Operations for the years ended December 31, 2019, December 31, 2018 and December 31, 2017, (iii) Consolidated Statements of Comprehensive Loss for the years ended December 31, 2019, December 31, 2018 and December 31, 2017, (iv) Consolidated Statements of Cash Flows for the years ended December 31, 2019, December 31, 2018 and December 31, 2017, (v) Consolidated Statements of Stockholders’ Equity for the years ended December 31, 2019, December 31, 2018 and December 31, 2017 and (vi) Notes to Consolidated Financial Statements.
−Removed: 101.SCH Incline XBRL Taxonomy Extension Schema Document
−Removed: 101.CAL Incline XBRL Taxonomy Extension Calculation Linkbase Document
−Removed: 101.DEF Incline XBRL Taxonomy Extension Definition Linkbase Document
−Removed: 101.LAB Incline XBRL Taxonomy Extension Label Linkbase Document
−Removed: 101.PRE Incline XBRL Taxonomy Extension Presentation Linkbase Document
+Added: (i) Consolidated Balance Sheets at December 31, 2020 and December 31, 2019, (ii) Consolidated Statements of Operations for the years ended December 31, 2020, December 31, 2019 and December 31, 2018, (iii) Consolidated Statements of Cash Flows for the years ended December 31, 2020, December 31, 2019 and December 31, 2018, (vi) Consolidated Statements of Stockholders’ Equity for the years ended December 31, 2020, December 31, 2019 and December 31, 2018 and (vii) Notes to Consolidated Financial Statements.
+Added: 101.SCH Inline XBRL Taxonomy Extension Schema Document
+Added: 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document
+Added: 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document
+Added: 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document
+Added: 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document
104 The cover page from the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2020, formatted in Inline XBRL and contained in Exhibit 101.
10 unchanged sentences
CODEXIS, INC.
−Removed: February 28, 2020 By:
+Added: March 1, 2021 By:
President and Chief Executive Officer
7 unchanged sentences
Nicols President, Chief Executive Officer and Director (Principal Executive Officer) Date:
−Removed: February 28, 2020
+Added: March 1, 2021
/s/ Ross Taylor Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) Date:
−Removed: February 28, 2020
+Added: March 1, 2021
/s/ Bernard J.
Kelley Chairman of the Board of Directors Date:
−Removed: February 28, 2020
−Removed: /s/ Thomas R.
−Removed: Baruch Chairman Emeritus, Director Date:
−Removed: February 28, 2020
−Removed: Cheng Director Date:
−Removed: February 28, 2020
+Added: March 1, 2021
+Added: /s/ Jennifer Aaker Director Date:
+Added: March 1, 2021
+Added: Jennifer Aaker
+Added: /s/ Stephen Dilly Director Date:
+Added: March 1, 2021
+Added: Stephen Dilly
Dorgan Director Date:
−Removed: February 28, 2020
+Added: March 1, 2021
+Added: /s/ Esther Martinborough Director Date:
+Added: March 1, 2021
+Added: Esther Martinborough
+Added: /s/ Alison Moore Director Date:
+Added: March 1, 2021
Smith Director Date:
−Removed: February 28, 2020
+Added: March 1, 2021
/s/ Dennis P.
Wolf Director Date:
−Removed: February 28, 2020
+Added: March 1, 2021
/s/ Patrick Y.
Yang Director Date:
−Removed: February 28, 2020
+Added: March 1, 2021
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.