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Filing Details

Accession Number:: 0001567619-18-001602
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-08-21 21:29:08
Reporting Period:: 2018-08-17

Accepted Time:: 2018-08-21 21:29:08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1365916	Amyris Inc.	AMRS	()	CA

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1032455	John L Doerr	C/O Amyris, Inc. 5885 Hollis Street, Suite 100 Emeryville CA 94608		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-08-17	4,877,386	$4.40	10,623,944	No	4	M	Indirect	By Foris Ventures, LLC
Common Stock	Disposition	2018-08-17	4,877,386	$6.22	5,746,558	No	4	S	Indirect	By Foris Ventures, LLC
Common Stock	Acquisiton	2018-08-17	2,106,217	$0.00	7,852,775	No	4	M	Indirect	By Foris Ventures, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	By Foris Ventures, LLC
No	4	S	Indirect	By Foris Ventures, LLC
No	4	M	Indirect	By Foris Ventures, LLC

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant (Right to Buy)	Disposition	2018-08-17	4,877,386	$0.00	4,877,386	$4.40
Common Stock	Warrant (Right to Buy)	Disposition	2018-08-17	2,106,217	$0.00	2,106,217	$0.00
Common Stock	Warrant (Right to Buy)	Disposition	2018-08-17	0	$0.00	0	$0.00
Common Stock	Warrant (Right to Buy)	Acquisiton	2018-08-17	4,877,386	$0.00	4,877,836	$7.52

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2017-07-10	2022-07-10	No	4	M	Indirect
0	2017-07-10	2022-07-10	No	4	M	Indirect
0	2017-07-10	2022-07-10	No	4	D	Indirect
4,877,386	2019-02-17	2019-11-17	No	4	A	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	5,532	Direct
Common Stock	9,648	Indirect	By Clarus, LLC
Common Stock	248,304	Indirect	By Kleiner Perkins Caufield & Byers XII, LLC
Common Stock	4,531	Indirect	By KPCB XII Founders Fund, LLC
Common Stock	567	Indirect	By The Vallejo Ventures Trust U/T/A 2/12/96

Footnotes

Reflects the exercise of a common stock purchase warrant (the "Cash Warrant") issued to Foris Ventures, LLC ("Foris") on May 11, 2017. The exercise price of and number of shares underlying the Cash Warrant reflect (i) a 1-for-15 reverse stock split which became effective on June 5, 2017 and (ii) certain adjustments to the exercise price pursuant to the anti-dilution provisions of the Cash Warrant. In connection with such exercise, the 9.99% beneficial ownership limit applicable to the Cash Warrant was removed.
The Reporting Person indirectly holds all of the membership interests in Foris. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Reflects the sale of common stock issuable upon exercise of the Cash Warrant pursuant to that certain Underwriting Agreement, dated August 17, 2018, among the Issuer, Foris, the other selling stockholders party thereto and B. Riley FBR, Inc. as underwriter.
Reflects the exercise of a common stock purchase warrant (the "Dilution Warrant") issued to Foris on May 11, 2017 to provide Foris with full-ratchet anti-dilution protection with respect to the conversion price of its Series B Preferred Stock (as defined below). The exercise price of and number of shares underlying the Dilution Warrant reflect (i) a 1-for-15 reverse stock split which became effective on June 5, 2017 and (ii) certain adjustments to the number of shares pursuant to the anti-dilution provisions of the Dilution Warrant. In connection with such exercise, the 9.99% beneficial ownership limit applicable to the Dilution Warrant was removed.
Pursuant to the Certificate of Designation for the Issuer's Series B 17.38% Convertible Preferred Stock ("Series B Preferred Stock"), the automatic conversion of the Series B Preferred Stock held by Foris to common stock is being held in abeyance to the extent such conversion would result in Foris beneficially owning in excess of 9.99% of the number of shares of common stock outstanding.
The Reporting Person is the manager of Clarus, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
The Reporting Person is a Trustee of The Vallejo Ventures Trust U/T/A 2/12/96.
After being exercised in full, the Dilution Warrant was surrendered to the Issuer for cancellation pursuant to the Warrant Exercise Agreement (as defined below). At the time of surrender, the Dilution Warrant was not exercisable for any shares.
The warrant was issued pursuant to that certain Warrant Exercise Agreement, dated August 17, 2018, between the Issuer and Foris (the "Warrant Exercise Agreement") in exchange for Foris exercising the Cash Warrant for cash and surrendering the Dilution Warrant for cancellation.