Retirement plan

CODEXIS, INC. 401(K) PLAN

Name: CODEXIS, INC. - CODEXIS, INC. 401(K) PLAN (2018) 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 2018

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)

$22.9M

+2.2% from 2017

Total participants

221

+11.1% from 2017

Average account balance

$114,843

-6.1% from 2017

Annual return

-4.70%

-25.64 pp from 2017

Benchmarks

See 5,340 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants100-249

Cohort5,340 peers

Snapshot2018

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.2 years Service code 27 · EIN 04-2654524	Advisory (Plan)	$6,385
FIDELITY INVESTMENTS INSTITUTIONAL4+ years Service code 37 · EIN 04-2647786	Loan Processing	$281

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

$7K

$51 / participant

Investment mgmt$6K95.8%
Other / not subdivided$2814.2%

% of EOY assets

0.029%

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

$114,843

$73,102+57.1%

$123,553-7.0%

$56,289+104.0%

Participation rate

83.2%

74.3%+8.9pp

82.3%+0.9pp

69.9%+13.4pp

Annual return

-4.70%

3.01%-7.7pp

119.21%-123.9pp

-9.96%+5.3pp

Employer contribution / active EE

$5,005

$2,977+68.1%

$4,628+8.1%

$2,111+137.1%

Participant deferral / active EE

$12,485

$5,423+130.2%

$6,426+94.3%

$3,350+272.7%

Admin fee / account holder

$33

$554-94.0%

$9,284-99.6%

$521-93.6%

Provider

Service type

Compensation

STRATEGIC ADVISORS, INC.2 years

Service code 27 · EIN 04-2654524

Advisory (Plan)

$6,385

FIDELITY INVESTMENTS INSTITUTIONAL4+ years

Service code 37 · EIN 04-2647786

Loan Processing

$281

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