x
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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Delaware
|
|
71-0872999
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(State or other jurisdiction of
incorporation or organization)
|
|
(I.R.S. Employer
Identification No.)
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|
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200 Penobscot Drive, Redwood City
|
|
94063
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(Address of principal executive offices)
|
|
(Zip Code)
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Large accelerated filer
|
¨
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Accelerated filer
|
x
|
|
|
|
|
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Non-accelerated filer
|
¨
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(Do not check if a smaller reporting company)
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Smaller reporting company
|
¨
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PAGE
NUMBER
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|
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||
PART I. FINANCIAL INFORMATION
|
||
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|
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ITEM 1:
|
Financial Statements (Unaudited)
|
|
|
||
|
||
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||
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ITEM 2:
|
||
ITEM 3:
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||
ITEM 4:
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ITEM 1:
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ITEM 1A:
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ITEM 2:
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ITEM 3:
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ITEM 4:
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ITEM 5:
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ITEM 6:
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||
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September 30,
2014 |
|
December 31,
2013 |
||||
Assets
|
|
|
|
||||
Current assets:
|
|
|
|
||||
Cash and cash equivalents
|
$
|
21,522
|
|
|
$
|
22,130
|
|
Short-term investments
|
—
|
|
|
3,005
|
|
||
Accounts receivable, net of allowances of $513 at September 30, 2014 and $460
at December 31, 2013 |
3,088
|
|
|
5,413
|
|
||
Inventories, net
|
1,943
|
|
|
1,487
|
|
||
Prepaid expenses and other current assets
|
1,652
|
|
|
1,567
|
|
||
Assets held for sale
|
—
|
|
|
2,179
|
|
||
Total current assets
|
28,205
|
|
|
35,781
|
|
||
Restricted cash
|
711
|
|
|
711
|
|
||
Marketable securities
|
1,031
|
|
|
795
|
|
||
Property and equipment, net
|
4,374
|
|
|
8,446
|
|
||
Intangible assets, net
|
7,029
|
|
|
9,560
|
|
||
Goodwill
|
3,241
|
|
|
3,241
|
|
||
Other non-current assets
|
201
|
|
|
306
|
|
||
Total assets
|
$
|
44,792
|
|
|
$
|
58,840
|
|
Liabilities and Stockholders’ Equity
|
|
|
|
||||
Current liabilities:
|
|
|
|
||||
Accounts payable
|
$
|
2,542
|
|
|
$
|
3,961
|
|
Accrued compensation
|
2,376
|
|
|
3,625
|
|
||
Other accrued liabilities
|
2,050
|
|
|
1,612
|
|
||
Deferred revenue
|
4,036
|
|
|
2,001
|
|
||
Total current liabilities
|
11,004
|
|
|
11,199
|
|
||
Deferred revenue, net of current portion
|
4,368
|
|
|
1,114
|
|
||
Other long-term liabilities
|
4,213
|
|
|
5,044
|
|
||
Total liabilities
|
19,585
|
|
|
17,357
|
|
||
Commitments and contingencies (note 11)
|
|
|
|
|
|
||
Stockholders’ equity:
|
|
|
|
||||
Preferred stock, $0.0001 par value; 5,000 shares authorized, none issued and outstanding
|
—
|
|
|
—
|
|
||
Common stock, $0.0001 par value; 100,000 shares authorized at September 30, 2014 and December 31, 2013; 39,510 and 38,351 shares issued and outstanding at September 30, 2014 and December 31, 2013, respectively
|
4
|
|
|
4
|
|
||
Additional paid-in capital
|
301,365
|
|
|
298,370
|
|
||
Accumulated other comprehensive income (loss)
|
113
|
|
|
(32
|
)
|
||
Accumulated deficit
|
(276,275
|
)
|
|
(256,859
|
)
|
||
Total stockholders’ equity
|
25,207
|
|
|
41,483
|
|
||
Total liabilities and stockholders’ equity
|
$
|
44,792
|
|
|
$
|
58,840
|
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Revenue:
|
|
|
|
|
|
|
|
||||||||
Biocatalyst product sales
|
$
|
2,562
|
|
|
$
|
1,076
|
|
|
$
|
8,323
|
|
|
$
|
15,161
|
|
Biocatalyst research and development
|
3,364
|
|
|
2,028
|
|
|
7,176
|
|
|
4,936
|
|
||||
Revenue sharing arrangement
|
1,546
|
|
|
839
|
|
|
5,617
|
|
|
2,300
|
|
||||
Total revenue
|
7,472
|
|
|
3,943
|
|
|
21,116
|
|
|
22,397
|
|
||||
Costs and operating expenses:
|
|
|
|
|
|
|
|
||||||||
Cost of biocatalyst product sales
|
1,532
|
|
|
494
|
|
|
6,179
|
|
|
9,790
|
|
||||
Research and development
|
5,038
|
|
|
6,831
|
|
|
17,708
|
|
|
22,776
|
|
||||
Selling, general and administrative
|
5,157
|
|
|
5,832
|
|
|
16,791
|
|
|
21,126
|
|
||||
Total costs and operating expenses
|
11,727
|
|
|
13,157
|
|
|
40,678
|
|
|
53,692
|
|
||||
Loss from operations
|
(4,255
|
)
|
|
(9,214
|
)
|
|
(19,562
|
)
|
|
(31,295
|
)
|
||||
Interest income
|
3
|
|
|
9
|
|
|
15
|
|
|
53
|
|
||||
Other expenses
|
(57
|
)
|
|
(22
|
)
|
|
(183
|
)
|
|
(288
|
)
|
||||
Loss before income taxes
|
(4,309
|
)
|
|
(9,227
|
)
|
|
(19,730
|
)
|
|
(31,530
|
)
|
||||
Provision for (benefit from) income taxes
|
253
|
|
|
35
|
|
|
(314
|
)
|
|
(41
|
)
|
||||
Net loss
|
$
|
(4,562
|
)
|
|
$
|
(9,262
|
)
|
|
$
|
(19,416
|
)
|
|
$
|
(31,489
|
)
|
Net loss per share, basic and diluted
|
$
|
(0.12
|
)
|
|
$
|
(0.24
|
)
|
|
$
|
(0.51
|
)
|
|
$
|
(0.83
|
)
|
Weighted average common shares used in computing net loss per share, basic and diluted
|
38,450
|
|
|
38,102
|
|
|
38,063
|
|
|
38,002
|
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Net loss
|
$
|
(4,562
|
)
|
|
$
|
(9,262
|
)
|
|
$
|
(19,416
|
)
|
|
$
|
(31,489
|
)
|
Other comprehensive income (loss):
|
|
|
|
|
|
|
|
||||||||
Unrealized gain (loss) on marketable securities, net of tax expense of $160 for the three months and tax benefit of $89 for the nine months ended September 30, 2014, and $17 for the three months and $172 for the nine months ended September 30, 2013.
|
(261
|
)
|
|
32
|
|
|
145
|
|
|
275
|
|
||||
Other comprehensive income (loss)
|
(261
|
)
|
|
32
|
|
|
145
|
|
|
275
|
|
||||
Total comprehensive loss
|
$
|
(4,823
|
)
|
|
$
|
(9,230
|
)
|
|
$
|
(19,271
|
)
|
|
$
|
(31,214
|
)
|
|
Nine Months Ended September 30,
|
||||||
|
2014
|
|
2013
|
||||
Operating activities:
|
|
|
|
||||
Net loss
|
$
|
(19,416
|
)
|
|
$
|
(31,489
|
)
|
Adjustments to reconcile net loss to net cash used in operating activities:
|
|
|
|
||||
Amortization of intangible assets
|
2,531
|
|
|
2,531
|
|
||
Depreciation and amortization of property and equipment
|
2,679
|
|
|
5,307
|
|
||
Impairment of property and equipment
|
1,841
|
|
|
—
|
|
||
Change in fair value of assets held for sale
|
886
|
|
|
—
|
|
||
(Gain) loss on disposal of property and equipment
|
(115
|
)
|
|
62
|
|
||
Gain on sale of Hungarian subsidiary
|
(760
|
)
|
|
—
|
|
||
Stock-based compensation
|
3,630
|
|
|
3,361
|
|
||
Amortization of premium (accretion of discount) on marketable securities
|
2
|
|
|
(63
|
)
|
||
Bad debt expense
|
53
|
|
|
328
|
|
||
Changes in operating assets and liabilities:
|
|
|
|
||||
Accounts receivable
|
2,316
|
|
|
833
|
|
||
Inventories, net
|
(456
|
)
|
|
(614
|
)
|
||
Prepaid expenses and other current assets
|
(734
|
)
|
|
4
|
|
||
Other assets
|
(74
|
)
|
|
(37
|
)
|
||
Accounts payable
|
(1,418
|
)
|
|
(2,164
|
)
|
||
Accrued compensation
|
(1,100
|
)
|
|
(155
|
)
|
||
Other accrued liabilities
|
194
|
|
|
1,080
|
|
||
Deferred revenue
|
5,288
|
|
|
1,923
|
|
||
Net cash used in operating activities
|
(4,653
|
)
|
|
(19,093
|
)
|
||
Investing activities:
|
|
|
|
||||
Purchase of property and equipment
|
(267
|
)
|
|
(447
|
)
|
||
Proceeds from maturities of marketable securities
|
3,000
|
|
|
13,410
|
|
||
Proceeds from sale of Hungarian subsidiary, net of selling costs
|
1,500
|
|
|
—
|
|
||
Proceeds from the sale of assets held for sale
|
281
|
|
|
—
|
|
||
Proceeds from sale of property and equipment
|
166
|
|
|
150
|
|
||
Decrease in restricted cash
|
—
|
|
|
600
|
|
||
Net cash provided by investing activities
|
4,680
|
|
|
13,713
|
|
||
Financing activities:
|
|
|
|
||||
Proceeds from exercises of options to purchase common stock
|
180
|
|
|
288
|
|
||
Taxes paid related to net share settlement of equity awards
|
(815
|
)
|
|
—
|
|
||
Net cash provided by (used in) financing activities
|
(635
|
)
|
|
288
|
|
||
Net decrease in cash and cash equivalents
|
(608
|
)
|
|
(5,092
|
)
|
||
Cash and cash equivalents at the beginning of the period
|
22,130
|
|
|
32,003
|
|
||
Cash and cash equivalents at the end of the period
|
$
|
21,522
|
|
|
$
|
26,911
|
|
•
|
Level 1: Quoted prices (unadjusted) in active markets that are accessible at the measurement date for assets or liabilities.
|
•
|
Level 2: Directly or indirectly observable inputs as of the reporting date through correlation with market data, including quoted prices for similar assets and liabilities in active markets and quoted prices in markets that are not active. Level 2 also includes assets and liabilities that are valued using models or other pricing methodologies that do not require significant judgment since the input assumptions used in the models, such as interest rates and volatility factors, are corroborated by readily observable data from actively quoted markets for substantially the full term of the financial instrument.
|
•
|
Level 3: Unobservable inputs that are supported by little or no market activity and reflect the use of significant management judgment. These values are generally determined using pricing models for which the assumptions utilize management's estimates of market participant assumptions.
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||
Options to purchase common stock
|
3,674
|
|
|
4,805
|
|
|
3,674
|
|
|
4,805
|
|
Restricted stock units/awards
|
1,950
|
|
|
1,665
|
|
|
1,950
|
|
|
1,665
|
|
Performance-contingent restricted stock units
|
774
|
|
|
—
|
|
|
774
|
|
|
—
|
|
Warrants to purchase common stock
|
75
|
|
|
75
|
|
|
75
|
|
|
75
|
|
Total shares excluded as anti-dilutive
|
6,473
|
|
|
6,545
|
|
|
6,473
|
|
|
6,545
|
|
|
September 30, 2014
|
||||||||||||||||
|
Adjusted Cost
|
|
Gross
Unrealized
Gains
|
|
Gross
Unrealized
Losses
|
|
Estimated
Fair Value
|
|
Average
Contractual
Maturities
|
||||||||
|
|
|
(in days)
|
||||||||||||||
Money market funds (1)
|
$
|
14,600
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
14,600
|
|
|
n/a
|
Common shares of CO
2
Solutions (2)
|
563
|
|
|
468
|
|
|
—
|
|
|
1,031
|
|
|
n/a
|
||||
Total
|
$
|
15,163
|
|
|
$
|
468
|
|
|
$
|
—
|
|
|
$
|
15,631
|
|
|
|
|
December 31, 2013
|
||||||||||||||||
|
Adjusted Cost
|
|
Gross
Unrealized Gains |
|
Gross
Unrealized Losses |
|
Estimated
Fair Value |
|
Average
Contractual Maturities |
||||||||
|
|
|
(in days)
|
||||||||||||||
Money market funds (1)
|
$
|
16,089
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
16,089
|
|
|
n/a
|
Corporate bonds
|
1,002
|
|
|
3
|
|
|
—
|
|
|
1,005
|
|
|
140
|
||||
U.S. Treasury obligations
|
2,000
|
|
|
—
|
|
|
—
|
|
|
2,000
|
|
|
59
|
||||
Common shares of CO
2
Solutions (2)
|
563
|
|
|
232
|
|
|
—
|
|
|
795
|
|
|
n/a
|
||||
Total
|
$
|
19,654
|
|
|
$
|
235
|
|
|
$
|
—
|
|
|
$
|
19,889
|
|
|
|
|
September 30, 2014
|
||||||||||||||
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
||||||||
Money market funds
|
$
|
14,600
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
14,600
|
|
Common shares of CO
2
Solutions
|
—
|
|
|
1,031
|
|
|
—
|
|
|
1,031
|
|
||||
Total
|
$
|
14,600
|
|
|
$
|
1,031
|
|
|
$
|
—
|
|
|
$
|
15,631
|
|
|
December 31, 2013
|
||||||||||||||
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
||||||||
Money market funds
|
$
|
16,089
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
16,089
|
|
Corporate bonds
|
—
|
|
|
1,005
|
|
|
—
|
|
|
1,005
|
|
||||
U.S. Treasury obligations
|
—
|
|
|
2,000
|
|
|
—
|
|
|
2,000
|
|
||||
Common shares of CO
2
Solutions
|
—
|
|
|
795
|
|
|
—
|
|
|
795
|
|
||||
Total
|
$
|
16,089
|
|
|
$
|
3,800
|
|
|
$
|
—
|
|
|
$
|
19,889
|
|
|
December 31, 2013
|
||||||||||||||
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
||||||||
Assets held for sale
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
2,179
|
|
|
$
|
2,179
|
|
|
September 30,
2014 |
|
December 31,
2013 |
||||
Raw materials
|
$
|
575
|
|
|
$
|
763
|
|
Work-in-process
|
17
|
|
|
31
|
|
||
Finished goods
|
1,351
|
|
|
693
|
|
||
Inventories, net
|
$
|
1,943
|
|
|
$
|
1,487
|
|
|
September 30,
2014 |
|
|
December 31,
2013 |
||||
Laboratory equipment
|
$
|
23,069
|
|
|
|
$
|
23,949
|
|
Leasehold improvements
|
9,517
|
|
|
|
9,493
|
|
||
Computer equipment
|
3,257
|
|
|
|
3,196
|
|
||
Office furniture and equipment
|
1,227
|
|
|
|
1,228
|
|
||
|
37,070
|
|
|
|
37,866
|
|
||
Less: accumulated depreciation and amortization
|
(30,880
|
)
|
|
|
(29,461
|
)
|
||
|
6,190
|
|
|
|
8,405
|
|
||
Construction in progress
|
25
|
|
|
|
41
|
|
||
Property and equipment
|
6,215
|
|
|
|
8,446
|
|
||
Less: Impairment of laboratory equipment
|
(1,841
|
)
|
(1)
|
|
—
|
|
||
Property and equipment, net
|
$
|
4,374
|
|
|
|
$
|
8,446
|
|
|
September 30, 2014
|
|
December 31, 2013
|
|
|
||||||||||||||||||||
|
Gross
Carrying
Amount
|
|
Accumulated
Amortization
|
|
Net
Carrying
Amount
|
|
Gross
Carrying
Amount
|
|
Accumulated
Amortization
|
|
Net
Carrying
Amount
|
|
Weighted-
Average
Amortization
Period
|
||||||||||||
|
|
|
|
|
|
|
|
|
(years)
|
||||||||||||||||
Maxygen intellectual property
|
$
|
20,244
|
|
|
$
|
(13,215
|
)
|
|
$
|
7,029
|
|
|
$
|
20,244
|
|
|
$
|
(10,684
|
)
|
|
$
|
9,560
|
|
|
6
|
Year ending December 31:
|
Total
|
||
2014 (remaining 3 months)
|
$
|
843
|
|
2015
|
3,374
|
|
|
2016
|
2,812
|
|
|
|
$
|
7,029
|
|
Assets Held for Sale
|
|
Adjusted Carrying Value
|
||
Research & development equipment classified as held for sale at December 31, 2013
|
|
$
|
2,179
|
|
Hungarian assets sold for the three months ended March 31, 2014
|
|
(779
|
)
|
|
U.S. assets sold for the three months ended March 31, 2014
|
|
(6
|
)
|
|
Research & development equipment classified as held for sale at March 31, 2014
|
|
$
|
1,394
|
|
Research & development equipment reclassified as held for use
|
|
(333
|
)
|
|
U.S. assets sold for the three months ended June 30, 2014
|
|
(13
|
)
|
|
Loss on exchange of assets
|
|
(188
|
)
|
|
Change in estimated fair value of research equipment during three months ended June 30, 2014
|
|
(568
|
)
|
|
Research & development equipment classified as held for sale at June 30, 2014
|
|
$
|
292
|
|
U.S. assets sold for the three months ended September 30, 2014
|
|
(162
|
)
|
|
Change in estimated fair value of research equipment during three months ended September 30, 2014
|
|
$
|
(130
|
)
|
Research & development equipment classified as held for sale at September 30, 2014
|
|
—
|
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Research and development (1)
|
$
|
227
|
|
|
$
|
97
|
|
|
$
|
734
|
|
|
$
|
989
|
|
Selling, general and administrative
|
828
|
|
|
529
|
|
|
2,896
|
|
|
2,372
|
|
||||
Total
|
$
|
1,055
|
|
|
$
|
626
|
|
|
$
|
3,630
|
|
|
$
|
3,361
|
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Stock options
|
$
|
247
|
|
|
$
|
397
|
|
|
$
|
843
|
|
|
$
|
1,538
|
|
RSUs and RSAs
|
722
|
|
|
527
|
|
|
2,383
|
|
|
1,823
|
|
||||
PSUs
|
86
|
|
|
(298
|
)
|
|
404
|
|
|
—
|
|
||||
Total
|
$
|
1,055
|
|
|
$
|
626
|
|
|
$
|
3,630
|
|
|
$
|
3,361
|
|
|
Three months ended September 30,
|
|
Nine months ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Expected term (in years)
|
6.0
|
|
|
6.0
|
|
|
6.0
|
|
|
6.0
|
|
||||
Volatility
|
0.676 - 0.679
|
|
|
0.640
|
|
|
0.639 - 0.679
|
|
|
0.640 - 0.652
|
|
||||
Risk-free interest rate
|
1.90% - 2.13%
|
|
|
1.81
|
%
|
|
1.90% - 2.13%
|
|
|
1.07% - 1.81%
|
|
||||
Dividend yield
|
—
|
%
|
|
—
|
%
|
|
—
|
%
|
|
—
|
%
|
||||
Weighted-average estimated fair value of stock options granted
|
$
|
1.21
|
|
|
$
|
1.17
|
|
|
$
|
1.16
|
|
|
$
|
1.34
|
|
September 30, 2014
|
|||||||
Issue Date
|
Shares Subject
to warrants
|
|
Exercise Price
per Share
|
|
Expiration
|
||
July 17, 2007
|
2,834
|
|
$
|
12.45
|
|
|
February 9, 2016
|
September 28, 2007
|
72,727
|
|
$
|
8.25
|
|
|
September 28, 2017
|
|
Three months ended September 30,
|
|
Nine months ended September 30,
|
||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||
Customer A
|
21
|
%
|
|
21
|
%
|
|
27
|
%
|
|
10
|
%
|
Customer B
|
27
|
%
|
|
34
|
%
|
|
26
|
%
|
|
47
|
%
|
Customer C
|
*
|
|
|
—
|
%
|
|
13
|
%
|
|
*
|
|
Customer D
|
16
|
%
|
|
*
|
|
|
*
|
|
|
*
|
|
Customer E
|
10
|
%
|
|
*
|
|
|
*
|
|
|
*
|
|
Customer F
|
*
|
|
|
—
|
%
|
|
*
|
|
|
10
|
%
|
|
Three Months Ended September 30,
|
|
Nine Months Ended September 30,
|
||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||
Revenue:
|
|
|
|
|
|
|
|
||||||||
United States
|
$
|
4,747
|
|
|
$
|
2,738
|
|
|
$
|
12,518
|
|
|
$
|
7,039
|
|
Asia
|
|
|
|
|
|
|
|
||||||||
India
|
225
|
|
|
213
|
|
|
636
|
|
|
2,721
|
|
||||
Singapore
|
466
|
|
|
—
|
|
|
466
|
|
|
6,721
|
|
||||
Others
|
192
|
|
|
209
|
|
|
872
|
|
|
751
|
|
||||
Europe
|
|
|
|
|
|
|
|
||||||||
Ireland
|
—
|
|
|
—
|
|
|
2,744
|
|
|
1,219
|
|
||||
Others
|
1,842
|
|
|
757
|
|
|
3,864
|
|
|
3,921
|
|
||||
Other
|
—
|
|
|
26
|
|
|
16
|
|
|
25
|
|
||||
Total Revenue
|
$
|
7,472
|
|
|
$
|
3,943
|
|
|
$
|
21,116
|
|
|
$
|
22,397
|
|
|
September 30,
2014 |
|
December 31,
2013 |
||||
Long-lived assets
|
|
|
|
||||
United States
|
$
|
11,403
|
|
|
$
|
16,189
|
|
Europe (1)
|
—
|
|
|
2,123
|
|
||
Total long-lived assets
|
$
|
11,403
|
|
|
$
|
18,312
|
|
(1)
|
Primarily Hungary
|
|
Q4 2013 Restructuring Plan
|
||
Balance at December 31, 2013
|
$
|
277
|
|
Cash payments for the first quarter of 2014
|
(238
|
)
|
|
Adjustments to previously accrued charges
|
(39
|
)
|
|
Balance at March 31, 2014, June 30, 2014 and September 30, 2014
|
$
|
—
|
|
ITEM 2.
|
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS
|
|
Three months ended September 30,
|
|
% of Total Revenue
|
|
Nine months ended September 30,
|
|
% of Total Revenue
|
||||||||||||||||||||
|
2014
|
|
2013
|
|
2014
|
|
2013
|
|
2014
|
|
2013
|
|
2014
|
|
2013
|
||||||||||||
Revenue:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Biocatalyst product sales
|
$
|
2,562
|
|
|
$
|
1,076
|
|
|
34
|
%
|
|
27
|
%
|
|
$
|
8,323
|
|
|
$
|
15,161
|
|
|
39
|
%
|
|
68
|
%
|
Biocatalyst research and development
|
3,364
|
|
|
2,028
|
|
|
45
|
%
|
|
52
|
%
|
|
7,176
|
|
|
4,936
|
|
|
34
|
%
|
|
22
|
%
|
||||
Revenue sharing arrangement
|
1,546
|
|
|
839
|
|
|
21
|
%
|
|
21
|
%
|
|
5,617
|
|
|
2,300
|
|
|
27
|
%
|
|
10
|
%
|
||||
Total revenue
|
7,472
|
|
|
3,943
|
|
|
100
|
%
|
|
100
|
%
|
|
21,116
|
|
|
22,397
|
|
|
100
|
%
|
|
100
|
%
|
||||
Costs and operating expenses:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||||||||
Cost of biocatalyst product sales
|
1,532
|
|
|
494
|
|
|
21
|
%
|
|
13
|
%
|
|
6,179
|
|
|
9,790
|
|
|
29
|
%
|
|
44
|
%
|
||||
Research and development
|
5,038
|
|
|
6,831
|
|
|
67
|
%
|
|
173
|
%
|
|
17,708
|
|
|
22,776
|
|
|
84
|
%
|
|
102
|
%
|
||||
Selling, general and administrative
|
5,157
|
|
|
5,832
|
|
|
69
|
%
|
|
148
|
%
|
|
16,791
|
|
|
21,126
|
|
|
80
|
%
|
|
94
|
%
|
||||
Total costs and operating expenses
|
11,727
|
|
|
13,157
|
|
|
157
|
%
|
|
334
|
%
|
|
40,678
|
|
|
53,692
|
|
|
193
|
%
|
|
240
|
%
|
||||
Loss from operations
|
(4,255
|
)
|
|
(9,214
|
)
|
|
(57
|
)%
|
|
(234
|
)%
|
|
(19,562
|
)
|
|
(31,295
|
)
|
|
(93
|
)%
|
|
(140
|
)%
|
||||
Interest income
|
3
|
|
|
9
|
|
|
—
|
%
|
|
—
|
%
|
|
15
|
|
|
53
|
|
|
—
|
%
|
|
—
|
%
|
||||
Other expenses
|
(57
|
)
|
|
(22
|
)
|
|
(1
|
)%
|
|
—
|
%
|
|
(183
|
)
|
|
(288
|
)
|
|
—
|
%
|
|
(1
|
)%
|
||||
Loss before income taxes
|
(4,309
|
)
|
|
(9,227
|
)
|
|
(58
|
)%
|
|
(234
|
)%
|
|
(19,730
|
)
|
|
(31,530
|
)
|
|
(93
|
)%
|
|
(141
|
)%
|
||||
Provision for (benefit from) income taxes
|
253
|
|
|
35
|
|
|
3
|
%
|
|
1
|
%
|
|
(314
|
)
|
|
(41
|
)
|
|
(1
|
)%
|
|
—
|
%
|
||||
Net loss
|
$
|
(4,562
|
)
|
|
$
|
(9,262
|
)
|
|
(61
|
)%
|
|
(235
|
)%
|
|
$
|
(19,416
|
)
|
|
$
|
(31,489
|
)
|
|
(92
|
)%
|
|
(141
|
)%
|
•
|
Biocatalyst product sales revenue consists of sales of biocatalysts intermediates, APIs and Codex
®
Biocatalyst Panels and Kits.
|
•
|
Biocatalyst research and development revenue includes: license, technology access and exclusivity fees, research services FTE, contingent payments, royalties, and optimization and screening fees.
|
•
|
Revenue sharing arrangement revenue is recognized based upon sales of licensed products by Exela.
|
|
Three months ended September 30,
|
|
Change
|
|
Nine months ended September 30,
|
|
Change
|
||||||||||||||||||||||
(In Thousands)
|
2014
|
|
2013
|
|
$
|
|
%
|
|
2014
|
|
2013
|
|
$
|
|
%
|
||||||||||||||
Biocatalyst product sales
|
$
|
2,562
|
|
|
$
|
1,076
|
|
|
$
|
1,486
|
|
|
138
|
%
|
|
$
|
8,323
|
|
|
$
|
15,161
|
|
|
$
|
(6,838
|
)
|
|
(45
|
)%
|
Biocatalyst research and development
|
3,364
|
|
|
2,028
|
|
|
1,336
|
|
|
66
|
%
|
|
7,176
|
|
|
4,936
|
|
|
2,240
|
|
|
45
|
%
|
||||||
Revenue sharing arrangement
|
1,546
|
|
|
839
|
|
|
707
|
|
|
84
|
%
|
|
5,617
|
|
|
2,300
|
|
|
3,317
|
|
|
144
|
%
|
||||||
Total revenue
|
$
|
7,472
|
|
|
$
|
3,943
|
|
|
$
|
3,529
|
|
|
90
|
%
|
|
$
|
21,116
|
|
|
$
|
22,397
|
|
|
$
|
(1,281
|
)
|
|
(6
|
)%
|
|
Three months ended September 30,
|
|
Change
|
|
Nine months ended September 30,
|
|
Change
|
|||||||||||||||||||||
(In Thousands)
|
2014
|
|
2013
|
|
$
|
%
|
|
2014
|
|
2013
|
|
$
|
|
%
|
||||||||||||||
Cost of biocatalyst product sales
|
$
|
1,532
|
|
|
$
|
494
|
|
|
$
|
1,038
|
|
210
|
%
|
|
$
|
6,179
|
|
|
$
|
9,790
|
|
|
$
|
(3,611
|
)
|
|
(37
|
)%
|
Research and development
|
5,038
|
|
|
6,831
|
|
|
(1,793
|
)
|
(26
|
)%
|
|
17,708
|
|
|
22,776
|
|
|
(5,068
|
)
|
|
(22
|
)%
|
||||||
Selling, general and administrative
|
5,157
|
|
|
5,832
|
|
|
(675
|
)
|
(12
|
)%
|
|
16,791
|
|
|
21,126
|
|
|
(4,335
|
)
|
|
(21
|
)%
|
||||||
Total operating expenses
|
$
|
11,727
|
|
|
$
|
13,157
|
|
|
$
|
(1,430
|
)
|
(11
|
)%
|
|
$
|
40,678
|
|
|
$
|
53,692
|
|
|
$
|
(13,014
|
)
|
|
(24
|
)%
|
|
Three months ended September 30,
|
|
Change
|
|
Nine months ended September 30,
|
|
Change
|
||||||||||||||||||||||
(In Thousands)
|
2014
|
|
2013
|
|
$
|
|
%
|
|
2014
|
|
2013
|
|
$
|
|
%
|
||||||||||||||
Interest income
|
$
|
3
|
|
|
$
|
9
|
|
|
$
|
(6
|
)
|
|
(67
|
)%
|
|
$
|
15
|
|
|
$
|
53
|
|
|
$
|
(38
|
)
|
|
(72
|
)%
|
Other expenses
|
(57
|
)
|
|
(22
|
)
|
|
(35
|
)
|
|
159
|
%
|
|
(183
|
)
|
|
(288
|
)
|
|
105
|
|
|
(36
|
)%
|
||||||
Total other income (expense)
|
$
|
(54
|
)
|
|
$
|
(13
|
)
|
|
$
|
(41
|
)
|
|
315
|
%
|
|
$
|
(168
|
)
|
|
$
|
(235
|
)
|
|
$
|
67
|
|
|
(29
|
)%
|
(In Thousands)
|
September 30,
2014 |
|
December 31,
2013 |
||||
Cash and cash equivalents
|
$
|
21,522
|
|
|
$
|
22,130
|
|
Short-term investments
|
$
|
—
|
|
|
$
|
3,005
|
|
Accounts receivable, net
|
$
|
3,088
|
|
|
$
|
5,413
|
|
Accounts payable, accrued compensation and accrued liabilities
|
$
|
6,968
|
|
|
$
|
9,198
|
|
Working capital
|
$
|
17,201
|
|
|
$
|
24,582
|
|
Marketable securities
|
$
|
1,031
|
|
|
$
|
795
|
|
|
Nine months ended September 30,
|
||||||
(In Thousands)
|
2014
|
|
2013
|
||||
Net cash used in operating activities
|
$
|
(4,653
|
)
|
|
$
|
(19,093
|
)
|
Net cash provided by investing activities
|
4,680
|
|
|
13,713
|
|
||
Net cash (used in) provided by financing activities
|
(635
|
)
|
|
288
|
|
||
Net decrease in cash and cash equivalents
|
$
|
(608
|
)
|
|
$
|
(5,092
|
)
|
ITEM 3.
|
QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK
|
ITEM 4.
|
CONTROLS AND PROCEDURES
|
ITEM 1.
|
LEGAL PROCEEDINGS
|
ITEM 1A.
|
RISK FACTORS
|
•
|
we do not achieve our research and development objectives under our collaboration agreements in a timely manner or at all;
|
•
|
we develop products and processes or enter into additional collaborations that conflict with the business objectives of our other collaborators;
|
•
|
our collaborators and/or our contract manufacturers do not receive the required regulatory and other approvals necessary for the commercialization of the applicable product;
|
•
|
we disagree with our collaborators as to rights to intellectual property that are developed during the collaboration, or their research programs or commercialization activities;
|
•
|
we are unable to manage multiple simultaneous collaborations;
|
•
|
our collaborators or licensees are unable or unwilling to implement or use the technology or products that we provide or license to them;
|
•
|
our collaborators become competitors of ours or enter into agreements with our competitors;
|
•
|
our collaborators become unable or less willing to expend their resources on research and development or commercialization efforts due to general market conditions, their financial condition or other circumstances beyond our control; or
|
•
|
our collaborators experience business difficulties, which could eliminate or impair their ability to effectively perform under our agreements.
|
ITEM 2.
|
Unregistered Sales of Equity Securities and Use of Proceeds
|
ITEM 3.
|
Defaults Upon Senior Securities
|
ITEM 4.
|
Mine Safety Disclosures
|
ITEM 5.
|
Other Information
|
ITEM 6.
|
Exhibits
|
|
|
|
|
|
|
Codexis, Inc.
|
|
|
|
|
|
Date:
|
November 6, 2014
|
By:
|
/s/ John Nicols
|
|
|
|
John Nicols
President and Chief Executive Officer
(principal executive officer)
|
|
|
|
|
Date:
|
November 6, 2014
|
By:
|
/s/ Gordon Sangster
|
|
|
|
Gordon Sangster
Chief Financial Officer
(principal financial and accounting officer)
|
ITEM 6.
|
Exhibits
|
3.1
|
|
|
Amended and Restated Certificate of Incorporation of Codexis, Inc. filed with the Secretary of the State of the State of Delaware on April 27, 2010 and effective as of April 27, 2010 (incorporated by reference to Exhibit 3.1 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2010, filed on May 28, 2010).
|
|
|
|
|
3.2
|
|
|
Certificate of Designations of Series A Junior Participating Preferred Stock of Codexis, Inc., filed with the Secretary of State of the State of Delaware on September 4, 2012 (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K, filed on September 4, 2012).
|
|
|
|
|
3.3
|
|
|
Amended and Restated Bylaws of Codexis, Inc. effective as of April 27, 2010 (incorporated by reference to Exhibit 3.2 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2010, filed on May 28, 2010).
|
|
|
|
|
4.1
|
|
|
Form of the Registrant'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).
|
|
|
|
|
10.1†
|
|
|
Platform Technology Transfer, Collaboration and License Agreement by and between the Company and GlaxoSmithKline Intellectual Property Limited, effective as of July 10, 2014.
|
|
|
|
|
10.2+
|
|
|
Offer Letter Agreement by and between the Company and Gordon Sangster effective as of July 11, 2014.
|
|
|
|
|
10.3+
|
|
|
Separation Agreement between David O'Toole and the Company effective as of July 9, 2014.
|
|
|
|
|
31.1
|
|
|
Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.
|
|
|
||
31.2
|
|
|
Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.
|
|
|
||
32.1
|
|
|
Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. §1350.
|
|
|
||
101
|
|
|
The following materials from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2014, formatted in Extensible Business Reporting Language (XBRL) includes: (i) Condensed Consolidated Balance Sheets at September 30, 2014 and December 31, 2013, (ii) Condensed Consolidated Statements of Income for the Three and Nine Months Ended September 30, 2014 and 2013, (iii) Condensed Consolidated Statements of Comprehensive Loss for the Three and Nine Months Ended September 30, 2014 and 2013, (iv) Condensed Consolidated Statements of Cash Flows for the Three and Nine Months Ended September 30, 2014 and 2013, and iv) Notes to Condensed Consolidated Financial Statements.
|
CONFIDENTIAL
[***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.
|
|
|
Page
|
|
1.
|
DEFINITIONS
|
1
|
|
|
1.1
|
“Affiliate”
|
1
|
|
1.2
|
“Alliance Manager”
|
2
|
|
1.3
|
“Applicable Law”
|
2
|
|
1.4
|
“Arising Codexis Enzyme Technology”
|
2
|
|
1.5
|
“Arising Codexis Enzyme Technology IP”
|
2
|
|
1.6
|
“Arising Codexis Process Technology”
|
2
|
|
1.7
|
“Arising Codexis Process Technology IP”
|
2
|
|
1.8
|
“Arising GSK Enzyme Technology”
|
2
|
|
1.9
|
“Arising GSK Enzyme Technology IP”
|
2
|
|
1.10
|
“Arising GSK Process Technology”
|
2
|
|
1.11
|
“Arising GSK Process Technology IP”
|
3
|
|
1.12
|
“Background IP”
|
3
|
|
1.13
|
“Business Day”
|
3
|
|
1.14
|
“Calendar Quarter”
|
3
|
|
1.15
|
“Calendar Year”
|
3
|
|
1.16
|
“Change of Control”
|
3
|
|
1.17
|
“Clinical Proof of Concept”
|
3
|
|
1.18
|
“Codexis Core Patents”
|
3
|
|
1.19
|
“Codexis Core Technology”
|
3
|
|
1.20
|
“Codexis Core Technology Improvements”
|
4
|
|
1.21
|
“Codexis Core Technology Improvements IP”
|
4
|
|
1.22
|
“Codexis Documentation”
|
4
|
|
1.23
|
“Codexis Enzymes”
|
4
|
|
1.24
|
“Codexis Enzyme Patents”
|
4
|
|
1.25
|
“Codexis Exclusive Field”
|
4
|
|
1.26
|
“Codexis Initial Enzyme(s)”
|
5
|
|
1.27
|
“Codexis Initial Enzyme IP”
|
5
|
|
1.28
|
“Codexis Library”
|
5
|
|
1.29
|
“Codexis Materials”
|
5
|
|
1.30
|
“Codexis Mayflower Patents”
|
5
|
|
1.31
|
“Codexis Methods”
|
5
|
|
1.32
|
“Codexis Senior Management”
|
5
|
|
1.33
|
“Codexis Software”
|
5
|
|
1.34
|
“Codexis Team”
|
5
|
|
1.35
|
“Collaborative Project”
|
5
|
|
1.36
|
“Commercially Reasonable Efforts”
|
6
|
|
1.37
|
“Completion of Wave 1”
|
6
|
|
1.38
|
Completion of Wave 2”
|
6
|
|
1.39
|
Completion of Wave 3”
|
6
|
|
1.40
|
“Confidential Information”
|
6
|
|
1.41
|
“Controlled” or “Controls”
|
6
|
|
1.42
|
“Cover” or “Covers”
|
6
|
|
1.43
|
“Covered Enzyme”
|
7
|
|
1.44
|
“Dollar” or “$”
|
7
|
|
|
Page
|
|
|
1.45
|
“Embargo Period”
|
7
|
|
1.46
|
“Enzyme”
|
7
|
|
1.47
|
“Enzyme Product”
|
7
|
|
1.48
|
“FDA”
|
7
|
|
1.49
|
“Field”
|
7
|
|
1.50
|
“Final Round of Enzyme Evolution”
|
7
|
|
1.51
|
“First Commercial Sale”
|
7
|
|
1.52
|
“First Production Run”
|
7
|
|
1.53
|
“FTE”
|
8
|
|
1.54
|
“Fully Burdened Cost”
|
8
|
|
1.55
|
“Generic Version”
|
8
|
|
1.56
|
“Good Clinical Practices” or “GCP”
|
8
|
|
1.57
|
“Good Laboratory Practices” or “GLP”
|
8
|
|
1.58
|
“Good Manufacturing Practices” or “GMP”
|
8
|
|
1.59
|
“GSK Compound”
|
9
|
|
1.60
|
“GSK Exclusive Field”
|
9
|
|
1.61
|
“GSK Existing Pharmaceutical Product”
|
9
|
|
1.62
|
“GSK Initial Enzyme(s)”
|
9
|
|
1.63
|
“GSK Project Library”
|
9
|
|
1.64
|
“GSK Selected Enzyme”
|
9
|
|
1.65
|
“GSK Sole Project”
|
9
|
|
1.66
|
“GSK Team”
|
9
|
|
1.67
|
“IFRS”
|
9
|
|
1.68
|
“Improvements TT Term”
|
9
|
|
1.69
|
“Improvements TT Term Expiration Date”
|
9
|
|
1.70
|
“Initial Enzyme”
|
9
|
|
1.71
|
“Initial Enzyme Optimisation”
|
10
|
|
1.72
|
“Initial Technology Transfer Inventory”
|
10
|
|
1.73
|
“Initial Training”
|
10
|
|
1.74
|
“In-License Agreements”
|
10
|
|
1.75
|
“In-Licensed IP”
|
10
|
|
1.76
|
“In-Licensed Know-How”
|
10
|
|
1.77
|
“In-Licensed Patents”
|
10
|
|
1.78
|
“Intellectual Property”
|
10
|
|
1.79
|
“Invention”
|
10
|
|
1.80
|
“Invoice”
|
10
|
|
1.81
|
“Know-How”
|
10
|
|
1.82
|
“Licensed Additional Codexis IP”
|
10
|
|
1.83
|
“Licensed Accessory Product”
|
11
|
|
1.84
|
“Licensed Additional Codexis Know-How”
|
11
|
|
1.85
|
“Licensed Additional Codexis Patents”
|
11
|
|
1.86
|
“Licensed Collaborative Project GSK Selected Enzyme”
|
11
|
|
1.87
|
“Licensed Diagnostic Product”
|
11
|
|
1.88
|
“Licensed Enzyme Therapeutic Product”
|
11
|
|
1.89
|
“Licensed GSK Sole Project GSK Selected Enzyme”
|
11
|
|
|
Page
|
|
|
1.90
|
“Licensed IP”
|
11
|
|
1.91
|
“Licensed Know-How”
|
11
|
|
1.92
|
“Licensed Other Therapeutic Product”
|
11
|
|
1.93
|
“Licensed Patents”
|
11
|
|
1.94
|
“Licensed Product”
|
12
|
|
1.95
|
“Licensed Prophylactic Product”
|
12
|
|
1.96
|
“Losses”
|
12
|
|
1.97
|
“Major Market Country”
|
12
|
|
1.98
|
“Net Sales”
|
12
|
|
1.99
|
“On-Site Training”
|
12
|
|
1.100
|
“Patent(s)”
|
13
|
|
1.101
|
“Person”
|
13
|
|
1.102
|
“Pharmaceutical Product”
|
13
|
|
1.103
|
“Phase 1b Clinical Trial”
|
13
|
|
1.104
|
“Phase 2a Clinical Trial”
|
13
|
|
1.105
|
“Platform Technology”
|
13
|
|
1.106
|
“Project”
|
13
|
|
1.107
|
“Project Enzyme”
|
13
|
|
1.108
|
“Prosecution”
|
13
|
|
1.109
|
“Regulatory Approval(s)”
|
13
|
|
1.110
|
“Regulatory Authority”
|
14
|
|
1.111
|
“Regulatory Filings”
|
14
|
|
1.112
|
“Restricted Enzyme”
|
14
|
|
1.113
|
“Round(s) of Enzyme Evolution”
|
14
|
|
1.114
|
“Royalty Term”
|
14
|
|
1.115
|
“Scientific Lead”
|
14
|
|
1.116
|
“Technology Transfer”
|
14
|
|
1.117
|
“Technology Transfer Plan”
|
14
|
|
1.118
|
“Territory”
|
14
|
|
1.119
|
“Third Party”
|
15
|
|
1.120
|
“TT Term”
|
15
|
|
1.121
|
“TT Term Expiration Date”
|
15
|
|
1.122
|
“Upfront Payment”
|
15
|
|
1.123
|
“United States” or “U.S.”
|
15
|
|
1.124
|
“Valid Claim”
|
15
|
|
1.125
|
“Wave”
|
15
|
|
1.126
|
Additional Definitions
|
15
|
2.
|
TECHNOLOGY TRANSFER AND PROJECTS
|
17
|
|
|
2.1
|
Management of Technology Transfer; Projects; Alliance
|
17
|
|
2.2
|
Technology Transfer
|
17
|
|
2.3
|
Technology Transfer Projects
|
20
|
|
2.4
|
New Projects
|
20
|
|
2.5
|
Transfers of Materials
|
21
|
|
2.6
|
Project Reporting
|
21
|
|
2.7
|
Post- Project Enzyme Supply
|
22
|
|
|
Page
|
|
|
2.8
|
Regulatory Responsibilities and Costs
|
22
|
|
2.9
|
Commercialization Responsibilities and Costs
|
22
|
|
2.10
|
Availability for Collaborative Projects; Additional Codexis Libraries
|
22
|
|
2.11
|
Party Employees
|
23
|
3.
|
LICENSES
|
23
|
|
|
3.1
|
Licenses to Codexis
|
23
|
|
3.2
|
Licenses to GSK
|
24
|
|
3.3
|
Sublicensing
|
25
|
|
3.4
|
Limitations on Licenses
|
26
|
|
3.5
|
Codexis Core Technology Improvements Option
|
30
|
|
3.6
|
Third Party Licences
|
31
|
|
3.7
|
Restricted Enzymes
|
31
|
|
3.8
|
Responsibility for Freedom to Operate Analyses
|
31
|
|
3.9
|
Public Domain Information and Material
|
32
|
|
3.10
|
No Implied Licenses
|
32
|
4.
|
PROJECTS
|
32
|
|
|
4.1
|
Collaborative Projects
|
32
|
|
4.2
|
Project Summaries
|
32
|
|
4.3
|
Project Activities
|
33
|
|
4.4
|
Subcontracting
|
33
|
|
4.5
|
Records
|
33
|
5.
|
GOVERNANCE
|
34
|
|
|
5.1
|
Joint Steering Committee
|
34
|
|
5.2
|
Patent Committee
|
36
|
6.
|
INTELLECTUAL PROPERTY
|
37
|
|
|
6.1
|
Background Rights
|
37
|
|
6.2
|
Ownership of Inventions
|
37
|
|
6.3
|
Further Assurances
|
38
|
|
6.4
|
Employees and Agents
|
38
|
|
6.5
|
Prosecution of Patents
|
38
|
|
6.6
|
Enforcement of Patents
|
39
|
|
6.7
|
Defense Against Claims of Infringement of Third Party Patents
|
40
|
7.
|
FINANCIAL TERMS
|
41
|
|
|
7.1
|
Upfront Payment
|
41
|
|
7.2
|
Annual Option Fee
|
41
|
|
7.3
|
Technology Transfer Milestones
|
41
|
|
7.4
|
Collaborative Project Milestones
|
41
|
|
7.5
|
GSK Sole Project Milestones
|
42
|
|
7.6
|
GSK Existing Pharmaceutical Product Milestones
|
43
|
|
7.7
|
Enzyme Product Milestones
|
44
|
|
7.8
|
Manner of Milestone Payments and Other Payments
|
46
|
|
7.9
|
Royalties
|
46
|
|
7.10
|
Royalty Payment Reports
|
46
|
|
7.11
|
Applicability of Milestones and Royalties
|
47
|
|
7.12
|
Manner of Payment
|
47
|
|
|
Page
|
|
|
13.5
|
Assignment
|
67
|
|
13.6
|
Change of Control of Codexis
|
68
|
|
13.7
|
GSK Divestments
|
68
|
|
13.8
|
Waivers and Modifications
|
68
|
|
13.9
|
Choice of Law
|
68
|
|
13.10
|
Relationship of the Parties
|
68
|
|
13.11
|
Entire Agreement
|
69
|
|
13.12
|
Counterparts
|
69
|
|
13.13
|
Interpretation
|
69
|
|
13.14
|
Anti-Bribery and Corruption
|
70
|
|
13.15
|
Ethical Standards and Human Rights
|
70
|
|
13.16
|
Good Data Management
|
70
|
Definition:
|
Section:
|
AAA
|
12.3
|
A/B Rated
|
1.55
|
Acquiring Entity
|
1.16
|
Agreement
|
Preamble
|
Annual Option Fee
|
7.2
|
Bankruptcy Code
|
11.3
|
Breaching Party
|
11.2
|
Challenging Party
|
11.4
|
Codexis
|
Preamble
|
Codexis Indemnitees
|
10.1
|
Codexis Patents
|
6.5.2
|
Covered Patent Claim
|
3.1.3
|
Cure Period
|
11.2
|
Disclosing Party
|
9.1
|
Dispute
|
12.1
|
Effective Date
|
Preamble
|
Exclusive Option
|
3.5.1
|
First Annual Option Fee
|
7.2
|
Force Majeure
|
13.4
|
GSK
|
Preamble
|
GSK Indemnitees
|
10.2
|
GSK Patents
|
6.5.3
|
Indemnification Claim
|
10.3
|
Indemnitee
|
10.3
|
Indemnitor
|
10.3
|
Infringement Action
|
6.6.1
|
Joint Steering Committee or JSC
|
5.1.1
|
Lactosan
|
3.4.6
|
Material
|
2.5
|
Material Transfer Record Form
|
2.5
|
Non-Breaching Party
|
11.2
|
Non-Exclusive Option
|
3.5.1
|
Non-Solicitation Period
|
13.1
|
Option
|
3.5.1
|
Definition:
|
Section:
|
Option Period
|
3.5.2
|
Parties
|
Preamble
|
Party
|
Preamble
|
Patent Challenge
|
11.4
|
Patent Claim
|
3.1.3
|
Patent Committee
|
5.2.1
|
Patent Committee Embargo License Period
|
3.1.4(a)
|
Potentially Restricted Enzyme
|
3.7.1
|
Project Team
|
5.1.3
|
Receiving Party
|
9.1
|
Royalties
|
7.9
|
Technology Transfer
|
1.116
|
Technology Transfer Project
|
2.3
|
Technology Transfer Project Activities
|
2.3
|
Technology Transfer Project Plan
|
2.3
|
Term
|
11.1
|
Termination Audit Right
|
11.5.3
|
Terminated Country
|
11.5.2
|
Transferor
|
2.5
|
Transferee
|
2.5
|
Technology Transfer Milestone Event
|
Milestone Payment
|
Completion of Wave 1 including delivery of all deliverables therefor specified in the Technology Transfer Plan.
|
$5,000,000
|
Completion of Wave 2, including delivery of all deliverables therefor specified in the Technology Transfer Plan.
|
$6,500,000
|
The earlier to occur of the event described in (a) Section 1.120(a) or (b) Section 1.120(c).
|
$7,500,000
|
Collaborative Project Milestone Event
|
Milestone Payment
|
Initiation of [***] of the Licensed Collaborative Project GSK Selected Enzyme used in the synthesis of a GSK Compound for [***].
|
$[***]
|
Initiation of [***] of the Licensed Collaborative Project GSK Selected Enzyme used in the synthesis of a GSK Compound for [***] of a Pharmaceutical Product.
|
$[***]
|
[***] of a Pharmaceutical Product in [***].
|
$[***]
|
First time annual Net Sales of a Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
First time annual Net Sales of a Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
First time annual Net Sales of a Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
GSK Sole Project Milestone Event
|
Milestone Payment
|
Initiation of [***] of the Licensed GSK Sole Project GSK Selected Enzyme for use in synthesis of a GSK Compound for [***] of a Pharmaceutical Product.
|
$[***]
|
[***] of a Pharmaceutical Product in [***].
|
$[***]
|
First time annual Net Sales of Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
First time annual Net Sales of Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
First time annual Net Sales of Pharmaceutical Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
GSK Existing Pharmaceutical Product Milestone Event
|
Milestone Payment for Collaborative Project
|
Milestone Payment for GSK Sole Project
|
Initiation of a Project following selection of an Initial Enzyme for Initial Enzyme Optimization.
|
$[***]
|
$[***]
|
Initiation of [***] of the GSK Selected Enzyme used in the synthesis of a GSK Existing Pharmaceutical Product for [***] of a Pharmaceutical Product.
|
$[***]
|
$[***]
|
[***] of a GSK Existing Pharmaceutical Product synthesized using a GSK Selected Enzyme in [***].
|
$[***]
|
$[***]
|
First time annual Net Sales of a GSK Existing Pharmaceutical Product synthesized using a GSK Selected Enzyme in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
$[***]
|
Enzyme Product Milestone Event
|
Column 1
Milestone Payment for Licensed Enzyme Therapeutic Products
|
Column 2
Milestone Payment for Licensed Prophylactic Products, Licensed Other Therapeutic Products and Licensed Accessory Products
|
Column 3
Milestone Payment for Licensed Diagnostic Products
|
Demonstration of [***] for an Enzyme Product.
|
$[***]
|
$[***]
|
$[***]
|
[***] of an Enzyme Product in [***].
|
$[***]
|
$[***]
|
$[***]
|
First time annual Net Sales of an Enzyme Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
$[***]
|
$[***]
|
First time annual Net Sales of an Enzyme Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
$[***]
|
$[***]
|
First time annual Net Sales of an Enzyme Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
$[***]
|
$[***]
|
First time annual Net Sales of an Enzyme Product in the Territory achieve [***] Dollars ($[***])
|
$[***]
|
$[***]
|
$[***]
|
Termination at Will During TT Term
|
Termination At Will Payment
|
During Technology Transfer Project 1, as defined in the Technology Transfer Plan
|
$[***]
|
During Technology Transfer Project 2, as defined in the Technology Transfer Plan
|
$[***]
|
During Technology Transfer Project 3, as defined in the Technology Transfer Plan
|
$[***]
|
During Technology Transfer Project 4, as defined in the Technology Transfer Plan
|
$[***]
|
Codexis, Inc.
|
GlaxoSmithKline Intellectual
Property Development Limited
|
||
By:
|
/s/ John J. Nicols
|
By:
|
/s/ Paul Williamson
|
Name:
|
John J. Nicols
|
Name:
|
Paul Williamson
For and on behalf of
Edinburgh Pharmaceutical Industries Limited
|
Title:
|
President & CEO
|
Title:
|
Corporate Director
|
CODEXIS CORE PATENTS
|
|||||||
Country
|
Application Title
|
Application Status
|
Application Number
|
Filing Date
|
Publication Number
|
Patent
Number
|
Issue
Date
|
US
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Granted
|
12/562988
|
09/18/2009
|
2010/0093560
|
8,383,346
|
02/26/2013
|
CN
|
METHOD OF SYNTHESIZING POLYNUCLEOTIDE VARIANTS
|
Granted
|
200980122093.2
|
12/13/2010
|
102066561
|
200980122093.2
|
09/25/2013
|
CA
|
METHOD OF SYNTHESIZING POLYNUCLEOTIDE VARIANTS
|
Published
|
2,726,850
|
12/02/2010
|
2726850
|
|
|
EP
|
METHOD OF SYNTHESIZING POLYNUCLEOTIDE VARIANTS
|
Published
|
9763625.2
|
11/29/2010
|
2285958
|
|
|
IN
|
METHOD OF SYNTHESIZING POLYNUCLEOTIDE VARIANTS
|
Published
|
8090/CHEN/2010
|
12/13/2010
|
8090/CHENP/2010
|
|
|
SG
|
METHOD OF SYNTHESIZING POLYNUCLEOTIDE VARIANTS
|
Granted
|
201009215-3
|
12/13/2010
|
|
167342
|
05/31/2013
|
CA
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Published
|
2763017
|
11/21/2011
|
2763017
|
|
|
CN
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Published
|
200980159766.1
|
12/08/2011
|
102803489
|
|
|
EP
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Published
|
9845944.9
|
12/05/2011
|
2451951
|
|
|
IN
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Published
|
9101/CHENP/2011
|
12/07/2011
|
9101/CHENP/2011
|
|
|
US
|
COMBINED AUTOMATED PARALLEL SYNTHESIS OF POLYNUCLEOTIDE VARIANTS
|
Published
|
13/756778
|
02/01/2013
|
2013/0143767
|
|
|
US
|
METHOD OF SELECTING AN OPTIMIZED, DIVERSE POPULATION OF VARIANTS
|
Granted
|
12/867429
|
08/12/2010
|
2011/0029468
|
8,504,498
|
08/06/2013
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
CODEXIS ENZYME PATENTS
|
|||||||
Country
|
Application Title
|
Application Status
|
Application
Number
|
Filing
Date
|
Publication Number
|
Patent
Number
|
Issue
Date
|
US
|
TRANSAMINASE POLYPEPTIDES
|
Granted
|
12/684864
|
01/08/2010
|
2010/0209981
|
8,470,564
|
06/25/2013
|
EP
|
TRANSAMINASE POLYPEPTIDES
|
Published
|
10729606.3
|
01/08/2010
|
2385983
|
|
|
SG
|
TRANSAMINASE POLYPEPTIDES
|
Published
|
201104947-5
|
07/06/2011
|
172891
|
|
|
IN
|
TRANSAMINASE POLYPEPTIDES
|
Published
|
5648/CHENP/2011
|
08/04/2011
|
5648/CHENP/2011
|
|
|
IL
|
TRANSAMINASE POLYPEPTIDES
|
Pending
|
213950
|
07/06/2011
|
|
|
|
CN
|
TRANSAMINASE POLYPEPTIDES
|
Published
|
201080010926.9
|
01/08/2010
|
102341494
|
|
|
US
|
TRANSAMINASE POLYPEPTIDES
|
Published
|
13/920,902
|
06/18/2013
|
2013/0266994
|
|
|
US
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
12/714397
|
02/26/2010
|
2010/0285541
|
8,293,507
|
10/23/2012
|
CN
|
TRANSAMINASE BIOCATALYSTS
|
Published
|
201080017312.3
|
10/19/2011
|
102405281
|
|
|
EP
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
IN
|
TRANSAMINASE BIOCATALYSTS
|
Published
|
6857/CHENP/2011
|
09/22/2011
|
6857/CHENP/2011
|
|
|
SG
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
201106064-7
|
02/26/2010
|
173815
|
173815
|
11/15/2013
|
JP
|
TRANSAMINASE BIOCATALYSTS
|
Published
|
2011-552209
|
08/23/2011
|
2012-519004
|
|
|
US
|
TRANSAMINASE BIOCATALYSTS
|
Published
|
13/604,323
|
09/05/2012
|
2012/0329108
|
|
|
DE
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
202010012539.4
|
12/18/2013
|
FR
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
ES
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
CH
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
GB
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
IE
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
IT
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
NL
|
TRANSAMINASE BIOCATALYSTS
|
Granted
|
10746948.8
|
09/26/2011
|
2401366
|
2401366
|
12/18/2013
|
CN
|
KETOREDUCTASE-MEDIATED STEREOSELECTIVE ROUTE TO ALPHA CHLOROALCOHOLS
|
Published
|
201080027481.5
|
12/20/2011
|
102482648
|
|
|
EP
|
KETOREDUCTASE-MEDIATED STEREOSELECTIVE ROUTE TO ALPHA CHLOROALCOHOLS
|
Published
|
10797576.5
|
12/22/2011
|
2446025
|
|
|
SG
|
TRANSAMINASE REACTIONS
|
Published
|
201109536-1
|
12/21/2011
|
177329
|
|
|
US
|
TRANSAMINASE REACTIONS
|
Published
|
13/378963
|
04/09/2012
|
2012/0190085
|
|
|
IL
|
TRANSAMINASE REACTIONS
|
Pending
|
216099
|
11/02/2011
|
|
|
|
US
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
12/490190
|
06/23/2009
|
2010/0063300
|
8,178,333
|
05/15/2012
|
CN
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Allowed
|
200980133157.9
|
06/24/2008
|
102131813
|
|
|
SG
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
201009300-3
|
06/23/2009
|
|
167392
|
08/15/2013
|
EP
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
IN
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Published
|
397/CHENP/2011
|
01/19/2011
|
397/CHENP/2011
|
|
|
US
|
STEREOMERICALLY PURE FUSED BICYLIC PROLINE COMPOUNDS USEFUL FOR PREPARING HEPATITIS C PROTEASE INHIBITORS
|
Allowed
|
13/294930
|
11/11/2011
|
2012/0130087
|
|
|
US
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
13/436506
|
03/30/2012
|
2012/0244581
|
8,574,876
|
11/05/2013
|
FR
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
DE
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
602009019988.9
|
11/06/2013
|
IE
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
IT
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
NL
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
ES
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
CH
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
GB
|
BIOCATALYTIC PROCESSES FOR THE PREPARATION OF SUBSTANTIALLY STEREOMERICALLY PURE FUSED BICYCLIC PROLINE COMPOUNDS
|
Granted
|
9798485.0
|
06/23/2009
|
2307419
|
2307419
|
11/06/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
12/545761
|
08/21/2009
|
2010/0055751
|
8,288,131
|
10/16/2012
|
US
|
POLYNUCLEOTIEDES ENCODING ENGINEERED KETOREDUCTASE POLYPEPTIDES
|
Granted
|
13/610723
|
09/11/2012
|
2013/0005018
|
8,455,230
|
06/04/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF A 3-ARYL-3-HYDROXYPROPANAMINE FROM A 3-ARYL-3-KETOPROPANAMINE
|
Granted
|
12/549154
|
08/27/2009
|
2010/0151534
|
8,426,178
|
04/23/2013
|
EP
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF A 3-ARYL-3-HYDROXYPROPANAMINE FROM A 3-ARYL-3-KETOPROPANAMINE
|
Published
|
9810573.7
|
08/27/2009
|
2329013
|
|
|
IN
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF A 3-ARYL-3-HYDROXYPROPANAMINE FROM A 3-ARYL-3-KETOPROPANAMINE
|
Published
|
2014/CHENP/2011
|
03/22/2011
|
2014/CHENP/2011
|
|
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF A 3-ARYL-3-HYDROXYPROPANAMINE FROM A 3-ARYL-3-KETOPROPANAMINE
|
Granted
|
13/796985
|
03/12/2013
|
2013/0177962
|
8,673,607
|
03/18/2014
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOLYL]-4PHENYL1,3-OXAZOLIDIN-2-ONE
|
Granted
|
12/545034
|
08/20/2009
|
2010/0062499
|
8,273,554
|
09/25/2012
|
CN
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOYL]-4PHENYL-1,3-OXAZOLIDIN-2-ONE
|
Published
|
200980141486.8
|
04/19/2011
|
102186972
|
|
|
SG
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOYL]-4PHENYL-1,3-OXAZOLIDIN-2-ONE
|
Pending
|
201101090-7
|
02/16/2011
|
|
|
|
EP
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOYL]-4PHENYL-1,3-OXAZOLIDIN-2-ONE
|
Published
|
9810477.1
|
03/29/2011
|
2329014
|
|
|
IN
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOYL]-4PHENYL-1,3-OXAZOLIDIN-2-ONE
|
Published
|
2000/CHENP/2011
|
03/22/2011
|
2000/CHENP/2011
|
|
|
US
|
POLYNUCLEOTIDES ENCODING RECOMBINANT KETOREDUCTASE POLYPEPTIDES
|
Granted
|
13/590882
|
08/21/2012
|
2012/0322136A1
|
8,415,126
|
04/09/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (4S)-3-[(5S)-5(4-FLUOROPHENYL)-5-HYDROXYPENTANOLYL]-4PHENYL1,3-OXAZOLIDIN-2-ONE
|
Published
|
13/764596
|
02/11/2013
|
2013/0210098
|
|
|
US
|
ENONE REDUCTASES
|
Granted
|
12/646907
|
12/23/2009
|
2010/0190218
|
8,329,438
|
12/11/2012
|
EP
|
ENONE REDUCTASES
|
Published
|
9835878.1
|
12/23/2009
|
2382308
|
|
|
IN
|
ENONE REDUCTASES
|
Published
|
4505/CHENP/2011
|
12/23/2009
|
4505/CHENP/2011
|
|
|
SG
|
ENONE REDUCTASES
|
Published
|
201104630-7
|
12/23/2009
|
172783
|
|
|
US
|
ENONE REDUCTASES
|
Published
|
13/658582
|
10/23/2012
|
2013/0115663
|
|
|
US
|
RECOMBINANT HALOHYDRIN DEHALOGENASE POLYPEPTIDES
|
Granted
|
12/642586
|
12/18/2009
|
2010/0173372
|
8,187,856
|
05/29/2012
|
IN
|
RECOMBINANT HALOHYDRIN DEHALOGENASE POLYPEPTIDES
|
Published
|
5068/CHENP/2011
|
12/18/2009
|
5068/CHENP/2011
|
|
|
US
|
RECOMBINANT HALOHYDRIN DEHALOGENASE POLYPEPTIDES
|
Granted
|
13/452328
|
04/20/2012
|
2012/0220002
|
8,580,555
|
11/12/2013
|
US
|
PENICILLIN G ACYLASES
|
Granted
|
12/615139
|
11/09/2009
|
2010/0143968
|
8,247,192
|
08/21/2012
|
US
|
PENICILLIN G ACYLASES
|
Granted
|
13/542835
|
07/06/2012
|
2012/0270282
|
8,569,013
|
10/29/2013
|
US
|
NITRILASE BIOCATALYSTS
|
Granted
|
13/381155
|
12/28/2011
|
2012/0142063
|
8,614,081
|
12/24/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF 3-ARYL-3-HYDROXYPROPANAMINE FROM A 3-ARYL-3-KETOPROPANAMINE
|
Granted
|
12/549293
|
08/27/2009
|
2010/0173369
|
8,288,141
|
10/16/2012
|
US
|
POLYNUCLEOTIDES ENCODING ENGINEERED KETOREDUCTASE POLYPEPTIDES
|
Published
|
13/610166
|
09/11/2012
|
2013/0005017
|
|
|
CN
|
SYNTHESIS OF PRAZOLE COMPOUNDS
|
Published
|
201080054980.3
|
06/04/2012
|
102884178
|
|
|
EP
|
SYNTHESIS OF PRAZOLE COMPOUNDS
|
Published
|
10836590.9
|
07/05/2012
|
2510089
|
|
|
IN
|
SYNTHESIS OF PRAZOLE COMPOUNDS
|
Published
|
5934/CHENP/2012
|
07/05/2012
|
5934/CHENP/2012
|
|
|
SG
|
SYNTHESIS OF PRAZOLE COMPOUNDS
|
Published
|
201204152-1
|
06/06/2012
|
181535
|
|
|
US
|
SYNTHESIS OF PRAZOLE COMPOUNDS
|
Published
|
13/514750
|
06/08/2012
|
2013/0017580
|
|
|
EP
|
BIOCATALYSTS FOR EZETIMIBE SYNTHESIS
|
Published
|
11778262.3
|
12/03/2012
|
2566497
|
|
|
IN
|
BIOCATALYSTS FOR EZETIMIBE SYNTHESIS
|
Published
|
10077/CHENP/2012
|
11/30/2012
|
10077/CHENP/2012
|
|
|
US
|
BIOCATALYSTS FOR EZETIMIBE SYNTHESIS
|
Published
|
13/695856
|
11/02/2012
|
2013/0052699
|
|
|
US
|
PROCESSES USING AMINO ACID DEHYDROGENASES AND KETOREDUCTASE-BASED COFACTOR REGENERATING SYSTEM
|
Published
|
13/577772
|
10/16/2012
|
2013/0029385
|
|
|
IN
|
PROCESSES USING AMINO ACID DEHYDROGENASES AND KETOREDUCTASE-BASED COFACTOR REGENERATING SYSTEM
|
Published
|
7740/CHENP/2012
|
09/07/2012
|
7740/CHENP/2012
|
|
|
SG
|
STRUCTURE-ACTIVITY RELATIONSHIPS
|
Published
|
201200817-3
|
02/12/2001
|
178753
|
|
|
US
|
STRUCTURE-ACTIVITY RELATIONSHIPS
|
Published
|
13/757554
|
02/01/2013
|
2013/0165341
|
|
|
US
|
STRUCTURE-ACTIVITY RELATIONSHIPS
|
Published
|
13/764252
|
02/11/2013
|
2013/0157900
|
|
|
CN
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
200880004582.3
|
02/08/2008
|
CN 101627116A
|
ZL2008 8 0004582.3
|
07/10/2013
|
SG
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
200904674-9
|
02/08/2008
|
|
154045
|
03/30/2012
|
KR
|
KETOREDUCTASES AND USES THEREOF
|
Pending
|
10-2009-7016084
|
02/08/2008
|
|
|
|
US
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
12/028,780
|
02/08/2008
|
2008/0318295
|
7,820,421
|
10/26/2010
|
EP
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
IL
|
KETOREDUCTASES AND USES THEREOF
|
Pending
|
199399
|
02/08/2008
|
|
|
|
JP
|
KETOREDUCTASES AND USES THEREOF
|
Published
|
2009-549110
|
02/08/2008
|
2010-517574
|
|
|
US
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
12/881734
|
09/14/2010
|
2011/0165670
|
8,071,347
|
12/06/2011
|
CH
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
DE
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
FR
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
GB
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
IE
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
NL
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
8725329.0
|
02/08/2008
|
2115130
|
2115130
|
08/03/2011
|
US
|
KETOREDUCTASES AND USES THEREOF
|
Granted
|
13/290773
|
11/07/2011
|
2012/0178142
|
8,415,127
|
04/09/2013
|
US
|
KETOREDUCTASES AND USES THEREOF
|
Published
|
13/793158
|
03/11/2013
|
2013/0196408
|
|
|
JP
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Allowed
|
2007-526267
|
06/04/2005
|
|
5042831
|
|
DE
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
102004029112.8
|
06/11/2004
|
|
1763577
|
10/06/2010
|
EP
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
5756002.1
|
06/04/2005
|
1763577
|
1763577
|
10/06/2010
|
US
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
11/629000
|
12/08/2006
|
2009/0162893
|
7,943,356
|
05/17/2011
|
GB
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
5756002.1
|
06/04/2005
|
1763577
|
1763577
|
10/06/2010
|
IT
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
5756002.1
|
06/04/2005
|
1763577
|
1763577
|
10/06/2010
|
AT
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
5756002.1
|
06/04/2005
|
1763577
|
1763577
|
10/06/2010
|
FR
|
ALCOHOL DEHYDROGENASE FOR THE STEREOSELECTIVE PRODUCTION OF HYDROXY COMPOUNDS
|
Granted
|
5756002.1
|
06/04/2005
|
1763577
|
1763577
|
10/06/2010
|
SG
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (R)-3-HYDROXYTHIOLANE
|
Granted
|
201000745-8
|
08/24/2008
|
|
159008
|
09/14/2012
|
IN
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (R)-3-HYDROXYTHIOLANE
|
Pending
|
1624/CHENP/2010
|
08/24/2008
|
|
|
|
EP
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (R)-3-HYDROXYTHIOLANE
|
Published
|
8798570.1
|
08/24/2008
|
2195443
|
|
|
CN
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (R)-3-HYDROXYTHIOLANE
|
Published
|
200880104011.7
|
08/24/2008
|
101784669
|
|
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE STEREOSELECTIVE PRODUCTION OF (R)-3-HYDROXYTHIOLANE
|
Granted
|
12/197286
|
08/24/2008
|
2009/0093031
|
7,977,078
|
07/12/2011
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF (r)-3-HYDROXYTHIOLANE
|
Granted
|
13/110789
|
05/18/2011
|
2011/0217754
|
8,227,229
|
07/24/2012
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF (r)-3-HYDROXYTHIOLANE
|
Published
|
13/525048
|
06/15/2012
|
2012/0276599
|
|
|
CN
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
200880115770.3
|
09/13/2008
|
101855342
|
ZL 2008 8 0115770.3
|
07/10/2013
|
JP
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Published
|
2010-525057
|
09/13/2008
|
2010-538657
|
|
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
12/210195
|
09/13/2008
|
2009/0191605
|
8,748,143
|
06/10/2014
|
IN
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Pending
|
2039/CHENP/2010
|
09/13/2008
|
|
|
|
SG
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
201001576-6
|
09/13/2008
|
|
159828
|
04/13/2012
|
EP
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
KR
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Pending
|
10-2010-7007675
|
09/13/2008
|
|
|
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
13/682600
|
11/20/2012
|
2013/0078692
|
8,512,973
|
08/20/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Allowed
|
13/970284
|
08/19/2013
|
2013/0344552
|
|
|
DE
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
602008028883.8
|
11/20/2013
|
FR
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
CH
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
GB
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
IE
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
NL
|
KETOREDUCTASE POLYPEPTIDES FOR THE REDUCTION OF ACETOPHENONES
|
Granted
|
8830789.7
|
09/13/2008
|
2198018
|
2198018
|
11/20/2013
|
SG
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
201001902-4
|
09/28/2008
|
|
160022
|
07/31/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
12/240986
|
09/29/2008
|
2009/0155863
|
8,088,610
|
01/03/2012
|
CN
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Allowed
|
200880118039.6
|
09/28/2008
|
101889081
|
ZL200880118039.6
|
06/18/2014
|
EP
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
IN
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Pending
|
2378/CHENP/2010
|
09/28/2008
|
|
|
|
IL
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
204331
|
09/28/2008
|
|
204331
|
07/31/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF (S,3)-METHYL2-(3-(3-(2(7-CHLOROQUINOLIN-2-YL)VINYL)PHENYL)-3-HYDROXYPROPYL)BENZOATE
|
Granted
|
13/329986
|
12/19/2011
|
2012/0184000
|
8,617,853
|
12/31/2013
|
DE
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
IE
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
NL
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
CH
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
GB
|
KETOREDUCTASE POLYPEPTIDES AND USES THEREOF
|
Granted
|
8833139.2
|
09/28/2008
|
2203557
|
2203557
|
02/29/2012
|
EP
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF ARMODAFINIL
|
Published
|
EP11846568.1
|
06/14/2013
|
2649187
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
US
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF ARMODAFINIL
|
Published
|
13/992138
|
06/06/2013
|
2013/0260426
|
|
|
EP
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF (S)-3-(1-AMINOETHYL)-PHENOL
|
Published
|
11796441.1
|
12/17/2012
|
2582799
|
|
|
IN
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF (S)-3-(1-AMINOETHYL)-PHENOL
|
Pending
|
267/CHENP/2013
|
01/11/2013
|
|
|
|
US
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF (S)-3-(1-AMINOETHYL)-PHENOL
|
Allowed
|
13/704507
|
12/14/2012
|
2013/0089898
|
|
|
EP
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF (1R,2R)-2-(3,4-DIMETHOXYPHENETHOXY)CYCLOHEXANAMINE
|
Published
|
11818555.2
|
04/29/2013
|
2606139
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
US
|
BIOCATALYSTS AND METHODS FOR THE SYNTHESIS OF (1R,2R)-2-(3,4-DIMETHOXYPHENETHOXY)CYCLOHEXANAMINE
|
Published
|
13/817295
|
03/12/2013
|
2013/0164794
|
|
|
SG
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Granted
|
201001989-1
|
10/01/2008
|
|
160517
|
05/05/2014
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Granted
|
12/243,968
|
10/01/2008
|
2009/0162909
|
7,883,879
|
02/08/2011
|
EP
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Published
|
8836133.2
|
10/01/2008
|
2205727
|
|
|
IL
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Pending
|
204379
|
10/01/2008
|
|
|
|
JP
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Pending
|
2010-527257
|
10/01/2008
|
|
|
|
IN
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Pending
|
2450/CHENP/2010
|
10/01/2008
|
|
|
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Granted
|
12/977,825
|
12/23/2010
|
2011/0159567
|
8,257,952
|
09/04/2012
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Granted
|
13/569900
|
08/08/2012
|
2013/0034895
|
8,470,572
|
06/25/2013
|
US
|
KETOREDUCTASE POLYPEPTIDES FOR THE PRODUCTION OF AZETIDINONE
|
Published
|
13/925096
|
06/24/2013
|
2014/0057330
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
EP
|
BIOCATALYTIC PROCESS FOR PREPARING ESLICARBAZEPINE AND ANALOGS THEREOF
|
Published
|
12771861.7
|
11/06/2013
|
2697662
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
WO
|
BIOCATALYSTS AND METHODS FOR HYDROXYLATION OF CHEMICAL COMPOUNDS
|
Published
|
PCT/US13/039874
|
05/07/2013
|
WO2013/169725
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
WO
|
BIOCATALYSTS FOR THE PREPARATION OF HYDROXY SUBSTITUTED CARBAMATES
|
Published
|
PCT/US2012/065046
|
11/14/2012
|
WO2013/074650
|
|
|
[***]
|
[***]
|
[***]
|
|
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
IN
|
IMPROVED KETOREDUCTASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
514/CHENP/2006
|
08/11/2004
|
|
239120
|
03/09/2010
|
SG
|
IMPROVED KETOREDUCTASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
200600860-1
|
08/11/2004
|
|
119648
|
12/31/2008
|
US
|
KETOREDUCTASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
10/916311
|
08/11/2004
|
2006/0195947
|
7,629,157
|
12/08/2009
|
US
|
KETOREDUCTASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
12/576195
|
10/08/2009
|
2010/0028972
|
7,833,767
|
11/16/2010
|
EP
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
US
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
11/502745
|
08/10/2006
|
2007/0161094
|
7,807,423
|
10/05/2010
|
US
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES AND VICINAL CYANO, HYDROXY SUBSTITUTED CARBOXYLIC ACID ESTERS
|
Granted
|
10/782258
|
02/18/2004
|
2004/0214297 A1
|
7,132,267
|
11/07/2006
|
US
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
10/639159
|
08/11/2003
|
2004/0137585
|
7,125,693
|
10/24/2006
|
IN
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYR1C ACID DERIVATIVES
|
Granted
|
158/CHENP/2005
|
08/11/2003
|
|
220964
|
06/11/2008
|
SG
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
2005007634-8
|
08/11/2003
|
|
109875
|
08/31/2007
|
SG
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-RYDROXYBUTYRIC ACID DERIVATIVES AND VICINAL CYANO, HYDROXY SUBSTITUTED CARBOXYLIC ACID ESTERS
|
Granted
|
200600847-8
|
02/18/2004
|
|
119636
|
02/29/2008
|
JP
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
2004-528083
|
08/11/2003
|
2005-535330
|
4578240
|
09/03/2010
|
HK
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
5108017.7
|
08/11/2003
|
|
HK1074059
|
09/09/2011
|
FR
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
DE
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
IE
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
NL
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
GB
|
ENZYMATIC PROCESSES FOR THE PRODUCTION OF 4-SUBSTITUTED 3-HYDROXYBUTYRIC ACID DERIVATIVES
|
Granted
|
3785237.3
|
08/11/2003
|
1537222
|
1537222
|
03/09/2011
|
SG
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
200600859-3
|
08/11/2004
|
|
119647
|
02/27/2009
|
US
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
12/790784
|
05/28/2010
|
2010/0304459
|
7,939,309
|
05/10/2011
|
IN
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
521/CHENP/2006
|
08/11/2004
|
|
239922
|
04/09/2010
|
AU
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
2004288134
|
08/11/2004
|
|
2004288134
|
04/01/2010
|
US
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
10/915927
|
08/11/2004
|
2005/0095619A1
|
7,816,111
|
10/19/2010
|
EP
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
FR
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
DE
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
602004043547.3
|
10/09/2013
|
IE
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
NL
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
CH
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
GB
|
IMPROVED GLUCOSE DEHYDROGENASE POLYPEPTIDES AND RELATED POLYNUCLEOTIDES
|
Granted
|
4816807.4
|
08/11/2004
|
1660648
|
1660648
|
10/09/2013
|
US
|
HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
12/573824
|
10/05/2009
|
2010/0167345
|
8,101,395
|
01/24/2012
|
US
|
HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
10/917179
|
08/11/2004
|
2005/0153417
|
7,824,898
|
11/02/2010
|
IN
|
IMPROVED HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
519/CHENP/2006
|
08/11/2004
|
|
239852
|
04/06/2010
|
SG
|
IMPROVED HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
200808477-4
|
11/14/2008
|
148180
|
148180
|
01/30/2014
|
US
|
IMPROVED HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
11/266747
|
11/02/2005
|
2006/0099700
|
7,588,928
|
09/15/2009
|
US
|
IMPROVED HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
11/067323
|
02/23/2005
|
2005/0272064
|
7,541,171
|
06/02/2009
|
US
|
IMPROVED HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
12/505374
|
07/17/2009
|
2009/0298125
|
8,252,554
|
08/28/2012
|
US
|
HALOHYDRIN DEHALOGENASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
13/349514
|
01/12/2012
|
2012/0208259
|
8,535,910
|
09/17/2013
|
US
|
ALANINE 2,3-AMINOMUTASES AND RELATED POLYNUCLEOTIDES
|
Granted
|
11/919271
|
03/20/2009
|
2010/0099143
|
7,790,432
|
09/07/2010
|
IN
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Pending
|
2322/CHENP/2009
|
10/01/2007
|
|
|
|
SG
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Granted
|
200901677-5
|
10/01/2010
|
|
150849
|
01/30/2014
|
EP
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Allowed
|
7843631.8
|
10/01/2007
|
2066788
|
|
|
CN
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Published
|
200780036841.6
|
10/01/2007
|
101528917
|
|
|
US
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Granted
|
11/865696
|
10/01/2007
|
2004/0248539
|
7,879,585
|
02/01/2011
|
US
|
COMPOSITIONS AND METHODS FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Granted
|
12/978022
|
12/23/2010
|
2011/0195465
|
8,273,547
|
09/25/2012
|
US
|
POLYNUCLEOTIDES ENCODING KETOREDUCTASES FOR PRODUCING STEREOISOMERICALLY PURE STATINS AND SYNTHETIC INTERMEDIATES THEREFOR
|
Granted
|
13/571,248
|
08/09/2012
|
2013/0040364
|
8,617,864
|
12/31/2013
|
EP
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
CH
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
US
|
ENZYMATIC CONVERSION OF EPDXIDES
|
Granted
|
11/833933
|
08/03/2007
|
2008/0220485
|
7,695,942
|
04/13/2010
|
FR
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
DE
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
60122505.8
|
08/23/2006
|
GB
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
IE
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
NL
|
ENZYMATIC CONVERSION OF EPOXIDES
|
Granted
|
1934641.0
|
05/23/2001
|
1287155
|
1287155
|
08/23/2006
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
CODEXIS MAYFLOWER PATENTS
|
|||||||
Country
|
Application Title
|
Application Status
|
Application Number
|
Filing Date
|
Publication Number
|
Patent Number
|
Issue
Date
|
GB
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
US
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
09/075511
|
05/08/1998
|
|
6,165,793
|
12/26/2000
|
AU
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
2005202165
|
12/02/1996
|
|
2005202165
|
06/26/2008
|
CA
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
2239099
|
12/02/1996
|
2239099
|
2239099
|
11/30/2004
|
EP
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
BE
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
NL
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
DK
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
FR
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
DE
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
KR
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96-0704465
|
02/17/1995
|
|
491810
|
05/19/2005
|
CH
|
METHOD FOR IN VITRO RECOMBINATION
|
Granted
|
96940934.1
|
12/02/1996
|
876509
|
876509
|
09/19/2001
|
US
|
END-COMPLEMENTARY POLYMERASE REACTION
|
Granted
|
08/425684
|
04/18/1995
|
|
5,834,252
|
11/10/1998
|
US
|
END-COMPLEMENTARY POLYMERASE REACTION
|
Granted
|
08/675502
|
07/03/1996
|
|
5,928,905
|
07/27/1999
|
US
|
END-COMPLEMENTARY POLYMERASE REACTION
|
Granted
|
09/245802
|
02/05/1999
|
|
6,489,146
|
12/03/2002
|
US
|
EVOLVING CELLULAR DNA UPTAKE BY RECURSIVE SEQUENCE RECOMBINATION
|
Granted
|
09/724067
|
11/28/2000
|
|
6,482,647
|
11/19/2002
|
US
|
EVOLVING CELLULAR DNA UPTAKE BY RECURSIVE SEQUENCE RECOMBINATION
|
Granted
|
08/792409
|
02/03/1997
|
|
6,096,548
|
08/01/2000
|
US
|
EVOLVING CELLULAR DNA UPTAKE BY RECURSIVE SEQUENCE RECOMBINATION
|
Granted
|
09/430927
|
11/01/1999
|
|
6,358,742
|
03/19/2002
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10/646221
|
08/22/2003
|
|
7,534,564
|
05/19/2009
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
09/954692
|
09/12/2001
|
|
6,946,296
|
09/20/2005
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
08/769062
|
12/18/1996
|
|
6,335,160
|
01/01/2002
|
GB
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
09/693389
|
10/20/2000
|
|
6,586,182
|
07/01/2003
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
09/693350
|
10/20/2000
|
|
6,579,678
|
06/17/2003
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
09/339913
|
06/24/1999
|
|
6,303,344
|
10/16/2001
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
09/339926
|
06/24/1999
|
|
6,653,072
|
11/25/2003
|
US
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
12/069011
|
02/05/2008
|
|
7,776,598
|
08/17/2010
|
CA
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
2274319
|
12/17/1997
|
|
2274319
|
04/09/2013
|
BE
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
CA
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Published
|
2589337
|
12/17/1997
|
2589337
|
|
|
MC
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
CH
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
EP
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
EP
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
DK
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
JP
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10-528054
|
12/17/1997
|
|
5008784
|
06/08/2012
|
FR
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
LU
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
FI
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
DE
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
1149905
|
69739996.6-08
|
09/15/2010
|
GR
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
NL
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
1202350.3
|
12/17/1997
|
|
1149905
|
09/15/2010
|
BE
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
DE
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
GB
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
CH
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
DK
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
FR
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
NL
|
METHODS AND COMPOSITIONS FOR POLYPEPTIDE ENGINEERING
|
Granted
|
10075154.4
|
12/17/1997
|
|
2202308
|
02/13/2013
|
US
|
METHOD FOR PRODUCING POLYNUCLEOTIDES WITH DESIRED PROPERTIES
|
Granted
|
09/333762
|
06/15/1999
|
|
6,337,186
|
01/08/2002
|
US
|
OPTIMIZATION OF INSECT RESISTANCE GENES USING DNA SHUFFLING
|
Granted
|
09/296886
|
04/22/1999
|
|
6500617
|
12/31/2002
|
US
|
DNA SHUFFLING OF MONOOXYENASE GENES FOR PRODUCTION OF INDUSTRIAL CHEMICALS
|
Granted
|
09/373,928
|
08/12/1999
|
|
6,605,430
|
08/12/2003
|
US
|
HIGH THROUGHPUT MASS SPECTROMETRY
|
Granted
|
09/502,283
|
02/11/2000
|
|
7,384,387
|
06/10/2008
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
11/339090
|
01/24/2006
|
|
7,620,502
|
11/17/2009
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
11/975638
|
10/18/2007
|
|
7,853,410
|
12/14/2010
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
12/557463
|
09/10/2009
|
|
7,957,912
|
06/07/2011
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
11/982405
|
10/31/2007
|
|
7,904,249
|
03/08/2011
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
09/618579
|
07/18/2000
|
|
7,024,312
|
04/04/2006
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
09/539486
|
03/30/2000
|
|
7,058,515
|
06/06/2006
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
09/494282
|
01/18/2000
|
|
6,917,882
|
07/12/2005
|
US
|
METHODS OF MAKING CHARACTER STRINGS, POLYNUCLEOTIDES & POLYPEPTIDES HAVING DESIRED CHARACTERISTICS
|
Granted
|
11/075231
|
03/07/2005
|
|
7,421,347
|
09/02/2008
|
US
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
09/626929
|
07/27/2000
|
|
6,319,714
|
11/20/2001
|
GB
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
US
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
09/694863
|
10/23/2000
|
|
6,521,453
|
02/18/2003
|
US
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
11/987555
|
11/30/2007
|
|
8,029,988
|
10/04/2011
|
US
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
12/557829
|
09/11/2009
|
|
8,058,001
|
11/15/2011
|
CA
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Published
|
2320697
|
01/18/2000
|
2320697
|
|
|
CH
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
EP
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
EP
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Published
|
10075153.6
|
01/18/2000
|
2253704
|
|
|
BE
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
DK
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
FR
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
DE
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
NL
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
909923.5
|
01/18/2000
|
|
1072010
|
04/21/2010
|
US
|
OLIGONUCLEOTIDE MEDIATED NUCLEIC ACID RECOMBINATION
|
Granted
|
09/626595
|
07/27/2000
|
|
6,479,652
|
11/12/2002
|
US
|
RECOMBINATION OF INSERTION MODIFIED NUCLEIC ACIDS
|
Granted
|
09/723520
|
11/27/2000
|
|
6,413,745
|
07/02/2002
|
US
|
RECOMBINATION OF INSERTION MODIFIED NUCLEIC ACIDS
|
Granted
|
09/723473
|
11/27/2000
|
|
6,358,740
|
03/19/2002
|
US
|
RECOMBINATION OF INSERTION MODIFIED NUCLEIC ACIDS
|
Granted
|
09/517933
|
03/03/2000
|
|
6,365,377
|
04/02/2002
|
US
|
OPTIMIZATION OF CROSSOVER POINTS FOR DIRECTED EVOLUTION
|
Granted
|
12/557434
|
09/10/2009
|
|
8,108,150
|
01/31/2012
|
US
|
OPTIMIZATION OF CROSSOVER POINTS FOR DIRECTED EVOLUTION
|
Granted
|
11/818237
|
06/12/2007
|
|
8,224,580
|
07/17/2012
|
US
|
OPTIMIZATION OF CROSSOVER POINTS FOR DIRECTED EVOLUTION
|
Granted
|
10/386903
|
03/10/2003
|
198988
|
7620500
|
11/17/2009
|
JP
|
OPTIMIZATION OF CROSSOVER POINTS FOR DIRECTED EVOLUTION
|
Granted
|
2003-576577
|
03/10/2003
|
|
4851687
|
|
EP
|
OPTIMIZATION OF CROSSOVER POINTS FOR DIRECTED EVOLUTION
|
Published
|
3711540.9
|
03/10/2003
|
1488335
|
|
|
US
|
INTEGRATED SYSTEMS AND METHODS FOR DIVERSITY GENERATION AND SCREENING
|
Granted
|
11/677505
|
02/21/2007
|
|
8,014,961
|
09/06/2011
|
US
|
INTEGRATED SYSTEMS AND METHODS FOR DIVERSITY GENERATION AND SCREENING
|
Granted
|
10/154936
|
05/23/2002
|
|
7,462,469
|
12/09/2008
|
US
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
12/557746
|
09/11/2009
|
|
8,170,806
|
05/01/2012
|
US
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
11/973805
|
10/09/2007
|
|
7,873,499
|
01/18/2011
|
US
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
11/210239
|
08/22/2005
|
|
7,430,477
|
09/30/2008
|
US
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
13/434261
|
03/29/2012
|
|
8,589,085
|
11/19/2013
|
US
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
09/495668
|
02/01/2000
|
|
6,961,664
|
11/01/2005
|
CA
|
METHODS OF POPULATING DATA STRUCTURES FOR USE IN EVOLUTIONARY SIMULATIONS
|
Granted
|
2337949
|
01/18/2000
|
|
2337949
|
03/15/2011
|
US
|
METHOD AND SYSTEM USING SYSTEMATICALLY VARIED DATA LIBRARIES
|
Granted
|
10/225564
|
08/20/2002
|
|
7,873,477
|
01/18/2011
|
US
|
METHOD AND APPARATUS FOR PREFERREED CODON DETERMINING SIMULATIONS
|
Granted
|
10/232770
|
08/30/2002
|
|
7,702,464
|
04/20/2010
|
US
|
METHOD AND APPARATUS FOR PREFERREED CODON DETERMINING SIMULATIONS
|
Granted
|
13/229228
|
09/09/2011
|
|
8,457,903
|
06/04/2013
|
EP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Published
|
12/979,637
|
12/28/2010
|
2011/0161265
|
|
|
BE
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
FR
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
GB
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
DE
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
DK
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
BE
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
GB
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
DE
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
NL
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
|
|
FR
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
CH
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
DK
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10181057.0
|
09/28/2010
|
|
2390803
|
11/20/2013
|
CH
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
NL
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
JP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
2003-573522
|
03/03/2003
|
|
5,319,865
|
07/19/2013
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
11/981577
|
10/30/2007
|
|
7,751,986
|
07/06/2010
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
11/706034
|
02/12/2007
|
|
7,747,393
|
06/29/2010
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Allowed
|
11/429628
|
05/05/2006
|
2006/0205003
|
|
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10/629351
|
07/29/2003
|
|
7,747,391
|
06/29/2010
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
10/379378
|
03/03/2003
|
|
7,783,428
|
08/24/2010
|
EP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
5779687.2
|
06/21/2005
|
|
1761879
|
08/14/2013
|
EP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Allowed
|
3743748.0
|
03/03/2003
|
1493027
|
|
|
EP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Published
|
10181000.0
|
09/28/2010
|
2278509
|
|
|
US
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Granted
|
11/981578
|
10/30/2007
|
|
8,762,066
|
06/24/2014
|
EP
|
METHODS, SYSTEMS AND SOFTWARE FOR IDENTIFYING FUNCTIONAL BIOMOLECULES
|
Published
|
10181159.4
|
09/28/2010
|
2315145
|
|
|
Country
|
Application Title
|
Application Status
|
Application No.
|
Filing Date
|
Publication No.
|
Pat. No.
|
Issue Date
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
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[***]
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[***]
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[***]
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[***]
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[***]
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[***]
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[***]
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[***]
|
[***]
|
1.
|
EXECUTIVE SUMMARY
|
1)
|
Transfer of the Codexis [***].
|
2)
|
Enabling GSK to practice CodeEvolver® comprising:
|
3)
|
Demonstration of proficiency of the GSK team with Technology Transfer Evolution [***].
|
Step
|
Inputs
|
Process
|
Output
|
Materials
|
|||
|
[***]
[***]
|
[***]
|
[***]
|
|
[***]
|
[***]
|
[***]
|
|
[***]
|
[***]
|
[***]
|
|
[***]
|
[***]
|
[***]
|
Methods
|
|||
|
[***]
|
|
[***]
|
|
[***]
|
[***]
|
[***]
|
|
[***]
[***]
|
[***]
|
[***]
|
|
[***]
[***]
|
[***]
|
[***]
|
•
|
Wave 1 Milestone Success Criteria
|
1.
|
[***]
|
2.
|
[***]
|
3.
|
[***]
|
4.
|
[***]
|
1)
|
[***]
|
2)
|
[***]
|
3)
|
[***]
|
Step
|
Inputs
|
Process
|
Output
|
Materials
|
|||
|
[***]
|
[***]
|
[***]
|
Methods
|
|||
|
[***]
|
• [***]
|
[***]
|
|
[***]
|
• [***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
•
[***]
•
[***]
•
[***]
•
[***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
|
[***]
|
|
[***]
|
•
[***]
•
[***]
•
[***]
•
[***]
•
[***]
•
[***]
|
[***]
|
•
|
Wave 2 Milestone Success Criteria
|
1.
|
[***]
|
2.
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
3.
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
Wave 3 Milestone Success Criteria
|
4.
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
5.
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
1)
|
[***]
|
A)
|
[***]
|
Platform
|
Short
Name
|
# of 96-well
Plates
per Panel
|
# of Enzymes
per Kit
|
Format
|
Quantity
Provided
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
2)
|
[***]
|
Platform
|
Short Name
|
Format
|
Number of Enzymes
|
Quantity
Provided
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
3)
|
[***]
|
Platform
|
Short
Name
|
Format
|
[***]
|
[***]
|
[***]
|
Principal Equipment
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
[***]
|
•
|
Any officer or employee of a government or any department, agency or instrument of a government;
|
•
|
Any person acting in an official capacity for or on behalf of a government or any department, agency, or instrument of a government;
|
•
|
Any officer or employee of a company or business owned in whole or part by a government;
|
•
|
Any officer or employee of a public international organization such as the World Bank or United Nations;
|
•
|
Any officer or employee of a political party or any person acting in an official capacity on behalf of a political party; and/or
|
•
|
Any candidate for political office
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
a)
|
within six months of your employment start date : 100%
|
b)
|
between six and twelve months: prorated monthly.
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
|
Codexis, Inc.
200 Penobscot Drive
Redwood City, CA 94063
Tel: 650.421.8100
Fax: 650.421-8135
www.codexis.com
|
|
1.
|
I have reviewed this Quarterly Report on Form 10-Q of Codexis, Inc.;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
|
4.
|
The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
|
(a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
(b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
|
(c)
|
Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
|
(d)
|
Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
|
5.
|
The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
|
(a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
|
(b)
|
Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.
|
/s/ John Nicols
|
John Nicols
|
President and Chief Executive Officer
(principal executive officer)
|
1.
|
I have reviewed this Quarterly Report on Form 10-Q of Codexis, Inc.;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
|
4.
|
The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
|
(a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
(b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
|
(c)
|
Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
|
(d)
|
Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
|
5.
|
The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
|
(a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
|
(b)
|
Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.
|
/s/ Gordon Sangster
|
Gordon Sangster
Senior Vice President and Chief Financial Officer
|
(principal financial and accounting officer)
|
•
|
The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
|
•
|
The information in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.
|
/s/ John Nicols
|
John Nicols
|
President and Chief Executive Officer
(principal executive officer)
|
|
/s/ Gordon Sangster
|
Gordon Sangster
Senior Vice President and Chief Financial Officer |
(principal financial and accounting officer)
|