UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Raizen Energia Participacoes S.A. AVENIDA PRESIDENTE JUSCELINO KUBITSCHECK 1327 6 O ANDAR SAO PAULO, D5 04543-011 |
X | |||
Ispagnac Participacoes Ltda. AVENIDA DAS AMERICAS 4200 BLOCO 6, 1 O ANDAR, (PART) BARRA DA TIJUCA RIO DE JANEIRO, RJ CEP, D5 22640-102 |
X | |||
Royal Dutch Shell plc 30, CAREL VAN BYLANDTLAAN THE HAGUE, P7 2596 HR |
X | |||
Cosan S.A. Industria e Comercio AVENIDA PRESIDENTE JUSCELINO KUBITSCHEK, 1327, 4 O ANDAR SAO PAULO, SP CEP, D5 04543-011 |
X | |||
Cosan Ltd. AVENIDA PRESIDENTE JUSCELINO KUBITSCHEK, 1726 6TH FLOOR SAO PAULO, SP, D5 04543-000 |
X |
/s/ Pedro Isamu Mizutani for Raizen Energia Participacoes S.A as its COO | 06/01/2011 | |
**Signature of Reporting Person | Date | |
/s/ Matias Lopes for Ispagnac Participacoes Ltda as an Officer | 06/01/2011 | |
**Signature of Reporting Person | Date | |
/s/ Mark Edwards for Royal Dutch Shell plc as its Deputy Company Secretary | 06/01/2011 | |
**Signature of Reporting Person | Date | |
/s/ Marcos Marinho Lutz for Cosan S.A. Industria e Comercio as its CEO | 06/01/2011 | |
**Signature of Reporting Person | Date | |
/s/ Rubens Ometo Silveira Mello for Cosan Limited as its CEO | 06/01/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | (1) Acquisition of Codexis Common Stock by Raizen Energia Participacoes S.A. ("Raizen"), a joint venture company in which Royal Dutch Shell plc ("RDS") and Cosan Limited are indirectly, through their respective subsidiaries Ispagnac Participacoes Ltda. ("Ispagnac") and Cosan S.A. Industria e Comercio, joint venture partners, from Ispagnac was part of RDS's and its affiliates' contribution to such joint venture, and was made in exchange for Raizen capital stock. |