People: Codexis Inc (CDXS.O)

Summary

Name	Age	Since	Current Position
Thomas Baruch	73	2008	Independent Chairman of the Board
John Nicols		2012	President, Chief Executive Officer, Director
David O'Toole	53	2012	Chief Financial Officer, Senior Vice President, Principal Accounting Officer
Douglas Sheehy	45	2009	Senior Vice President, General Counsel, Secretary
David Anton	59	2012	Senior Vice President - BioIndustrials
Mark Ho	39	2012	Interim Controller
Alexander Karsner	45	2009	Director
Pedro Mizutani	52	2011	Director
Byron Dorgan	69	2011	Independent Director
Bernard Kelley	70	2004	Independent Director
Dennis Wolf	59	2007	Independent Director

» Insider Trading

Biographies

Name	Description
Thomas Baruch	Mr. Thomas R. Baruch is Independent Chairman of the Board of Codexis, Inc. Since November 2010, Mr. Baruch has served as managing general partner of Baruch Future Ventures, LLC, a venture capital fund that he founded. Mr. Baruch is also the founder and partner emeritus of CMEA Capital, a venture capital firm that was established in 1989 as an affiliated fund of New Enterprise Associates. Mr. Baruch served as managing partner of CMEA Capital from 1989 to October 2010. Mr. Baruch currently serves as a director for various clean technology companies, including as a member of the board of directors of FORO Energy, a company developing a new hybrid thermal mechanical drilling technology for geothermal energy wells; as chairman of the board of directors of CNano Technology Limited, a nanomaterial company that manufactures and develops carbon nanotubes for advanced energy and other applications; as a member of the board of directors of Wildcat Discovery Technologies, Inc., a company focused on the discovery of advanced materials for clean technology applications; and as chairman of the board of directors of Intermolecular, Inc., a company offering high productivity combinatorial synthesis technologies for application in the semiconductor and clean energy sectors, where he also serves on its compensation and nominating and corporate governance committees. Before starting CMEA, Mr. Baruch was a founder and Chief Executive Officer of Microwave Technology, Inc., a supplier of gallium arsenide integrated circuits. He is also both a member of the Executive Committee of the Council of Competitiveness and member of the Steering Committee of the ESIS Initiative (Energy, Security, Innovation, and Sustainability) of the Council of Competitiveness. Mr. Baruch holds a B.S. in engineering from Rensselaer Polytechnic Institute and a J.D. from Capital University.
John Nicols	Mr. John J. Nicols has been appointed as President, Chief Executive Officer, Director of Codexis, Inc. He resigned as Chief Financial Officer of the Company, effective September 04, 2012. He serves as President, Chief Executive Officer, Director of the Company, since June 13, 2012. Mr. Nicols has served in various capacities at Albemarle Corporation, a public company focused on the development, manufacture, and marketing of engineered specialty chemicals, since he joined that company in 1990. Since March 2012, Mr. Nicols has served as its Senior Vice President, Strategic Development and Catalysts. Mr. Nicols previously served as its Vice President, Catalysts from January 2007 to February 2012, its Vice President, Fine Chemistry from June 2002 to December 2006, its Division Vice President, Global Flame Retardants business from February 1999 through June 2002 and its Asia Pacific Business Director for the Bromine Chemicals business, based in Tokyo, Japan, from 1995 to 1998. Prior to his time with Albemarle Corporation, Mr. Nicols worked for three years in manufacturing and research and development for Hercules, Inc. Mr. Nicols received a B.S. in Chemical Engineering from the Polytechnic Institute of New York University and an M.B.A. from the Sloan School of Management at the Massachusetts Institute of Technology.
David O'Toole	Mr. David D. O'Toole, CPA has been appointed as Chief Financial Officer, Senior Vice President, Principal Accounting Officer of Codexis, Inc., effective September 4, 2012. He has over 25 years of experience in the accounting and finance sectors, and for the past twelve years has focused on the life science and biotech industry. From May 2010 to August 2012, David was Vice President and Chief Financial Officer at Response Genetics, Inc. (NASDAQ: RGDX), a company focused on the development and sale of molecular diagnostic tests for cancer and analytical testing services of clinical trial specimens for the pharmaceutical industry. From 2008 to 2009, David was Executive Vice President and Chief Financial Officer of Abraxis Bioscience, Inc., a global, publicly traded biotechnology company that was later acquired by Celgene Corporation (NASDAQ: CELG). From 1992 to 2008, David worked at Deloitte & Touche LLP where he served for twelve years as a partner, providing international business, operational and tax advice to medium and multinational companies, including many in the life science and biotech sector. From 1984 to 1992, he worked at Arthur Anderson & Co. as an international tax manager, spending two of those years in Tokyo, Japan. David received his Bachelor of Science, Accounting from the University of Arizona and is a certified public accountant.
Douglas Sheehy	Mr. Douglas T. Sheehy is Senior Vice President, General Counsel, Secretary of Codexis, Inc., since November 2009. He joined Codexis in April 2007 as Vice President, General Counsel and Secretary. Prior to Codexis, Mr. Sheehy spent five years at CV Therapeutics, Inc., a publicly held biopharmaceutical company that developed and commercialized small molecule drugs for the treatment of cardiovascular disease, in various positions, most recently as Executive Director, Legal — Corporate Law. Prior to that, Mr. Sheehy served as an attorney with the law firms of Gunderson Dettmer LLP and Brobeck Phleger & Harrison LLP. Mr. Sheehy holds a B.A. in history from Dartmouth College and a J.D. from American University.
David Anton	Dr. David L. Anton, Ph.D., is no longer Senior Vice President - BioIndustrials of Codexis Inc., effective June 1, 2013. Dr. Anton served as Chief Technology Officer and Senior Vice President, Process Development & Manufacturing from February 2011 to September 2012 and Senior Vice President, Research and Development from 2009 to 2011. Dr. Anton joined Codexis in 2008 as Vice President, Research and Development, for Codexis Bioindustrials. Dr. Anton has over 25 years experience directing development of new technology solutions and production processes. He joined DuPont in 1983, and held a variety of senior research management positions across bioprocessing and biocatalysis. He led the process research, development and commercialization of several products, including 1,3 propanediol (a chemical intermediate used in a variety of industrial applications ranging from airplane deicing fluids to textiles and carpet). As Vice President, Research and Development for DuPont’s joint venture with Tate and Lyle, he directed technology start-up activities for the first 100 million-pound plant for 1,3 propanediol, commissioned in Loudon, TN in 2006. As Venture Manager, Biofuels, he was global business lead for development of DuPont’s advanced biofuel, biobutanol. He holds a bachelor’s degree in biochemistry from the University of California, Berkeley, and a Ph.D. in biochemistry from the University of Minnesota. He was a member of the joint DOE/USDA Biomass Research and Development Technology Advisory Committee from 2006 to 2008.
Mark Ho	Mr. Mark Ho is the Interim Controller of Codexis Inc. He has served as the Company’s Senior Director, Accounting, since July 2011. Mr. Ho joined the Company in September 2009 as Director, Accounting. Prior to joining the Company, from December 2008, he was Director of Accounting at Solta Medical, Inc., a public medical aesthetics company, where he primarily focused on public reporting, cost accounting and project management. Prior to that time, Mr. Ho served at Reliant Technologies, Inc., a privately-held medical device company that was acquired by Solta Medical, Inc. in December 2008, as its Director of Technical Accounting and SEC Reporting from May 2007 and then as Corporate Controller from April 2008. Mr. Ho previously held several positions at Ernst & Young LLP from June 1996 to November 2001 and again from April 2004 to April 2007, the most recent of which was Senior Audit Manager. Mr. Ho received a Bachelor of Accountancy (with Merit) from the Nanyang Technology University (Singapore) and is a Certified Public Accountant.
Alexander Karsner	Mr. Alexander A. Karsner is Director of Codexis, Inc., since December 2009. He is currently Executive Chairman of Manifest Energy, Inc., a clean energy infrastructure development and finance company. Mr. Karsner previously served as Assistant Secretary for Energy Efficiency and Renewable Energy at the U.S. Department of Energy from March 2006 to August 2008. From April 2002 to March 2006, Mr. Karsner was Managing Director of Enercorp LLC, a private company involved in international project development, management and financing of renewable energy infrastructure. Mr. Karsner has also worked with Tondu Energy Systems of Texas, Wartsila Power Development of Finland and other multi-national energy firms and developers. Mr. Karsner is a director of Applied Materials, Inc., Conservation International, Argonne National Laboratory, the Gas Technology Institute, and the National Marine Sanctuaries Foundation and is on the advisory board of Hudson Clean Energy and the Automotive X Prize. Mr. Karsner holds a B.A. with honors from Rice University and a M.A. from Hong Kong University.
Pedro Mizutani	Mr. Pedro Isamu Mizutani serves as Director of Codexis, Inc., effective July 1, 2011. Since July 2011, Mr. Mizutani has served as the Chief Operating Officer of Raízen, Raízen S.A., Raízen Energia S.A. and Raízen Combustiveis S.A., where he is responsible for all of Raízen’s upstream business (production of sugar, ethanol and bioenergy). Raízen is a joint venture between companies controlled by Cosan and Shell. Since 2010, Mr. Mizutani has served as the Chief Executive Officer of Cosan Sugar and Ethanol. From 2000 to 2010 he served as a director on the Executive Board for the Cosan Group, where he had responsibility for all upstream production. Mr. Mizutani holds a degree in production engineering from the University of São Paulo, an M.B.A. from the Getulio Vargas Foundation and a post-graduate degree in finance from the Methodist University of Piracicaba.
Byron Dorgan	Senator Byron L. Dorgan is an Independent Director of Codexis Inc. Mr. Dorgan represented the State of North Dakota in the United States Senate from 1992 to January 2011. Prior to serving in the United States Senate, Mr. Dorgan served in the United States House of Representatives from 1981 to 1992. During his time in the United States Senate, Mr. Dorgan served in the United States Senate Leadership, first as Assistant Democratic Floor Leader and then as Chairman of the Democratic Policy Committee. He also served as the Chairman of the Committee on Indian Affairs and was the senior Senator on the Appropriations, Energy and Commerce Committees. Prior to being elected to the United States House of Representatives, Mr. Dorgan served as North Dakota State Tax Commissioner from 1969 until 1980. Mr. Dorgan is also the author of two books, Take this Job and Ship It: How Corporate Greed and Brain-Dead Politics Are Selling Out America, a New York Times bestseller, and Reckless! How Debt, Deregulation and Dark Money Nearly Bankrupted America. Mr. Dorgan holds a B.S. from the University of North Dakota and a M.B.A. from the University of Denver.
Bernard Kelley	Mr. Bernard J. Kelley is an Independent Director of Codexis Inc., since April 2004. From 1993 to 2002, Mr. Kelley was the President of the Merck Manufacturing Division, a division of Merck & Co., Inc., a global pharmaceutical company, and he served as a member of the Merck Management Committee from 1995 to 2002. Mr. Kelley currently serves on the board of directors, compensation and audit committees of MAP Pharmaceuticals, Inc., a biotechnology company focused on developing inhalation-based therapies, and previously served on the board of directors of Aegis Analytical Corporation, an enterprise software company, from 2004 to 2006. He holds a B.S. in engineering from the U.S. Naval Academy.
Dennis Wolf	Mr. Dennis P. Wolf is an Independent Director of Codexis, Inc., since December 2007. Mr. Wolf serves as Executive Vice President and Chief Financial Officer of Fusion-io Multisystems. Previously, Mr. Wolf served as Executive Vice President and Chief Financial Officer of MySQL AB. Prior to MySQL, Mr. Wolf held financial management positions for public high technology companies including Apple Computer, Inc., Centigram Communications, Inc., Credence Systems Corporation, Omnicell, Inc., Redback Networks Inc. and Sun Microsystems, Inc. Mr. Wolf is currently a director and chairman of the audit committee for Exponential Interactive Inc., a privately held digital advertising company. Mr. Wolf has been a director or member of the audit committee for other public companies including Quantum Corporation (from July 2007 through September 2011), Avanex Corporation (from April 2008 through April 2009), Bigband Networks (from October 2009 through March 2011), Komag, Inc. (from August 2004 through July 2007), Vitria Technology, Inc.(from February 2003 through September 2006) and Registry Magic. Mr. Wolf holds a B.A. from the University of Colorado and an M.B.A. from the University of Denver.

Basic Compensation

Name	Fiscal Year Total
Thomas Baruch	--
John Nicols	--
David O'Toole	--
Douglas Sheehy	1,094,100
David Anton	1,107,700
Mark Ho	--
Alexander Karsner	--
Pedro Mizutani	--
Byron Dorgan	--
Bernard Kelley	--
Dennis Wolf	--

As Of 30 Dec 2011

Options Compensation

Name	Options	Value
Thomas Baruch	0	0
John Nicols	0	0
David O'Toole	0	0
Douglas Sheehy	0	0
David Anton	0	0
Mark Ho	0	0
Alexander Karsner	0	0
Pedro Mizutani	0	0
Byron Dorgan	0	0
Bernard Kelley	0	0
Dennis Wolf	0	0

Insider Trading

Name	Shares Traded	Price
TOBIN MATTHEW	3,033	$0.60
NICOLS JOHN J	27,000	$2.42
NICOLS JOHN J	27,000	$2.27
NICOLS JOHN J	27,000	$2.16
O TOOLE DAVID D	10,000	$2.02
TOBIN MATTHEW	2,743	$2.31
ANTON DAVID L	7,899	$2.31
SHEEHY DOUGLAS T	7,899	$2.31
DORGAN BYRON L	43,103	$0.00
KARSNER ALEXANDER A	43,103	$0.00
O TOOLE DAVID D	45,384	$0.00
NICOLS JOHN J	80,000	$0.00
SEUFER WASSERTHAL PETER	38,064	$0.00
KELLEY BERNARD J	43,103	$0.00
SHEEHY DOUGLAS T	45,384	$0.00
BARUCH THOMAS R	43,103	$0.00
TOBIN MATTHEW	31,476	$0.00
WOLF DENNIS P	43,103	$0.00
ANTON DAVID L	31,476	$0.00
O TOOLE DAVID D	5,000	$2.20
SHEEHY DOUGLAS T	3,800	$2.76
O TOOLE DAVID D	2,500	$2.85
ANTON DAVID L	3,800	$2.76
O TOOLE DAVID D	2,500	$2.70
O TOOLE DAVID D	50,000	$0.00

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People: Codexis Inc (CDXS.O)

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Summary

Biographies

Basic Compensation

Options Compensation

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