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, 2021, which has materially affected, or is reasonably likely to materially affect, our internal control over financial reporting.
−Removed: 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.
−Removed: 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.
−Removed: 2017-04, Intangibles - Goodwill and Other (Topic 350) :
−Removed: Simplifying the Test for Goodwill Impairment .
−Removed: There were no significant changes to our internal control over financial reporting due to the adoption of new standards.
OTHER INFORMATION
Not applicable.
+Added: DISCLOSURE REGARDING FOREIGN JURISDICTIONS THAT PREVENT INSPECTIONS
+Added: Not applicable.
DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE
9 unchanged sentences
The information required by this item is incorporated by reference from the information that will be set forth in the 2022 Proxy Statement under the heading “Ratification of Independent Registered Public Accounting Firm—Principal Accounting Fees and Services.”
−Removed: EXHIBITS, FINANCIAL STATEMENT SCHEDULES
+Added: EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
Financial Statements:
9 unchanged sentences
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).
−Removed: 4.3 Description of the Common Stock of Codexis, Inc.
−Removed: (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).
+Added: 4.3 Description of Codexis' Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
10.1A* Lease Agreement by and between the Company and Metropolitan Life Insurance Company dated as of February 1, 2004.
51 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).
+Added: 10.10F Amendment No.
+Added: 5 to Sitagliptin Catalysts Supply Agreement, effective as of J uly 1, 20 21 , by and between the Company and Merck Sharp and Dohme Corp.
+Added: (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 20 21 , filed on November 5 , 20 21 ).
10.11A† Global Development, Option and License Agreement by and among the Company, Societé des Produits Nestlé S.A., formerly known as Nestec Ltd.
12 unchanged sentences
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).
−Removed: 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).
+Added: 10.13A*** Platform Technology Transfer and License Agreement by and between the Company and Merck Sharp & Dohme Corp., dated as of August 3, 2015.
10.13B† Amendment No.
13 unchanged sentences
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.)
+Added: 10.16J Ninth Amendment to Loan and Security Agreement by and between the Company and Western Alliance Bank dated as of September 30, 2021 (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2021, filed on November 5, 2021 ).
+Added: 10.17 Lease Agreement by and between the Company and ARE-SAN FRANCISCO NO.
+Added: 63, LLC dated as of January 29, 2021 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2021, filed on May 7, 2021).
23.1 Consent of BDO USA, LLP, independent registered public accounting firm.
22 unchanged sentences
CODEXIS, INC.
−Removed: March 1, 2021 By:
+Added: February 28, 2022 By:
President and Chief Executive Officer
7 unchanged sentences
Nicols President, Chief Executive Officer and Director (Principal Executive Officer) Date:
−Removed: March 1, 2021
+Added: February 28, 2022
/s/ Ross Taylor Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) Date:
−Removed: March 1, 2021
−Removed: /s/ Bernard J.
−Removed: Kelley Chairman of the Board of Directors Date:
−Removed: March 1, 2021
+Added: February 28, 2022
+Added: Dorgan Chairman of the Board of Directors Date:
+Added: February 28, 2022
/s/ Jennifer Aaker Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
Jennifer Aaker
/s/ Stephen Dilly Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
Stephen Dilly
−Removed: Dorgan Director Date:
−Removed: March 1, 2021
/s/ Esther Martinborough Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
Esther Martinborough
/s/ Alison Moore Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
Smith Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
/s/ Dennis P.
Wolf Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
/s/ Patrick Y.
Yang Director Date:
−Removed: March 1, 2021
+Added: February 28, 2022
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.