Retirement plan

CODEXIS, INC. 401(K) PLAN

Name: CODEXIS, INC. - CODEXIS, INC. 401(K) PLAN (2017) Form 5500
Creator: CODEXIS, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CODEXIS, INC. 401(K) PLAN, CODEXIS, INC.

CODEXIS, INC.EIN 71-0872999Plan #001PY 2017

200 PENOBSCOT DRIVE - REDWOOD CITY, CA 94063650-421-8146codexis.comLinkedIn51-200 employeesbiotechnology

Prospect flagsFailed to transmit contributions

How to read this page

Total assets (EOY)

$22.4M

+21.0% from 2016

Total participants

199

-4.3% from 2016

Average account balance

$122,240

+27.6% from 2016

Annual return

20.94%

+14.53 pp from 2016

Benchmarks

See 5,160 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants100-249

Cohort5,160 peers

Snapshot2017

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$56.10M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$141K

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

399

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

91.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$4.30M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$22K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+18.18%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$317

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

1 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 2 by compensation

Provider	Service type	Compensation
STRATEGIC ADVISORS, INC.1 year Service code 27 · EIN 04-2654524	Advisory (Plan)	$5,365
FIDELITY INVESTMENTS INSTITUTIONAL3+ years Service code 37 · EIN 04-2647786	Loan Processing	$506

Plan features & details

Pension benefit codes2F2G2J2T3D

Plan features

2F
ERISA section 404(c) plan
This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.

Opportunity flags

1 tripped

ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).

Expense breakdown

Schedule H Part II

Admin total

$6K

$52 / participant

Investment mgmt$5K91.4%
Other / not subdivided$5068.6%

% of EOY assets

0.026%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: MOSS ADAMS LLP
Auditor EIN: 910189318
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$122,240

$80,753+51.4%

$136,298-10.3%

$62,293+96.2%

Participation rate

86.0%

73.5%+12.4pp

81.9%+4.0pp

69.5%+16.4pp

Annual return

20.94%

35.83%-14.9pp

5156.27%-5135.3pp

28.90%-8.0pp

Employer contribution / active EE

$5,375

$2,884+86.4%

$4,696+14.5%

$2,042+163.2%

Participant deferral / active EE

$12,839

$5,164+148.6%

$6,247+105.5%

$3,169+305.1%

Admin fee / account holder

$32

$525-93.9%

$9,244-99.7%

$479-93.3%

Provider

Service type

Compensation

STRATEGIC ADVISORS, INC.1 year

Service code 27 · EIN 04-2654524

Advisory (Plan)

$5,365

FIDELITY INVESTMENTS INSTITUTIONAL3+ years

Service code 37 · EIN 04-2647786

Loan Processing

$506

CODEXIS, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CODEXIS, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion