Filing Details
- Accession Number:
- 0001567619-18-001603
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-21 21:30:21
- Reporting Period:
- 2018-08-17
- Accepted Time:
- 2018-08-21 21:30:21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1365916 | Amyris Inc. | AMRS | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1227255 | Frank Kung | C/O Amyris, Inc. 5885 Hollis Street, Suite 100 Emeryville CA 94608 | Yes | No | No | No |
Reported Non-Derivative Transactions
| 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 | 964,927 | $4.26 | 3,448,664 | No | 4 | M | Indirect | by Vivo Capital Fund VIII, L.P. |
| Common Stock | Acquisiton | 2018-08-17 | 133,246 | $4.26 | 476,220 | No | 4 | M | Indirect | by Vivo Capital Surplus Fund VIII, L.P. |
| Common Stock | Disposition | 2018-08-17 | 2,439,848 | $6.22 | 1,008,816 | No | 4 | S | Indirect | By Vivo Capital Fund VIII, L.P. |
| Common Stock | Disposition | 2018-08-17 | 336,914 | $6.22 | 139,306 | No | 4 | S | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| Common Stock | Acquisiton | 2018-08-17 | 3,465,693 | $4.40 | 4,474,509 | No | 4 | M | Indirect | By Vivo Capital Fund VIII, L.P. |
| Common Stock | Acquisiton | 2018-08-17 | 478,571 | $4.40 | 617,877 | No | 4 | M | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| Common Stock | Disposition | 2018-08-20 | 1,008,816 | $6.22 | 3,465,693 | No | 4 | S | Indirect | By Vivo Capital Fund VIII, L.P. |
| Common Stock | Disposition | 2018-08-20 | 139,306 | $6.22 | 478,571 | No | 4 | S | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| Common Stock | Acquisiton | 2018-08-20 | 1,432,977 | $4.40 | 4,898,670 | No | 4 | M | Indirect | By Vivo Capital Fund VIII, L.P. |
| Common Stock | Acquisiton | 2018-08-20 | 197,877 | $4.40 | 676,448 | No | 4 | M | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | by Vivo Capital Fund VIII, L.P. |
| No | 4 | M | Indirect | by Vivo Capital Surplus Fund VIII, L.P. |
| No | 4 | S | Indirect | By Vivo Capital Fund VIII, L.P. |
| No | 4 | S | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| No | 4 | M | Indirect | By Vivo Capital Fund VIII, L.P. |
| No | 4 | M | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| No | 4 | S | Indirect | By Vivo Capital Fund VIII, L.P. |
| No | 4 | S | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
| No | 4 | M | Indirect | By Vivo Capital Fund VIII, L.P. |
| No | 4 | M | Indirect | By Vivo Capital Surplus Fund VIII, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2018-08-17 | 4,111 | $0.00 | 964,927 | $4.26 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2018-08-17 | 568 | $0.00 | 133,246 | $4.26 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2018-08-17 | 3,465,693 | $0.00 | 3,465,693 | $4.40 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2018-08-17 | 478,571 | $0.00 | 478,571 | $4.40 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2018-08-17 | 0 | $0.00 | 0 | $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 | 4,488,072 | $0.00 | 4,488,072 | $7.52 |
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2018-08-17 | 619,749 | $0.00 | 619,749 | $7.52 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2018-08-20 | 1,432,977 | $0.00 | 1,432,977 | $4.40 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2018-08-20 | 197,877 | $0.00 | 197,877 | $4.40 |
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2018-08-20 | 1,855,706 | $0.00 | 1,855,706 | $7.52 |
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2018-08-20 | 256,251 | $0.00 | 256,251 | $7.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,275 | 2017-08-03 | No | 4 | M | Indirect | |
| 1,005 | 2017-08-03 | No | 4 | M | Indirect | |
| 1,432,977 | 2017-08-03 | 2022-08-03 | No | 4 | M | Indirect |
| 197,877 | 2017-08-03 | 2022-08-03 | No | 4 | M | Indirect |
| 0 | 2018-05-23 | 2023-05-23 | No | 4 | D | Indirect |
| 0 | 2018-05-23 | 2023-05-23 | No | 4 | D | Indirect |
| 4,488,072 | 2019-02-17 | 2019-11-17 | No | 4 | A | Indirect |
| 619,749 | 2019-02-17 | 2019-11-17 | No | 4 | A | Indirect |
| 0 | 2017-08-03 | 2022-08-03 | No | 4 | M | Indirect |
| 0 | 2017-08-03 | 2022-08-03 | No | 4 | M | Indirect |
| 1,855,706 | 2019-02-20 | 2019-11-20 | No | 4 | A | Indirect |
| 256,251 | 2019-02-20 | 2019-11-20 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,266 | Direct |
Footnotes
- Reflects the conversion of shares of the Issuer's Series D Convertible Preferred Stock issued on August 3, 2017. Each share of Series D Convertible Preferred Stock has a stated value of $1,000 and is convertible at any time at the option of the holder into common stock of the Issuer, subject to a 9.99% beneficial ownership limit.
- The General Partner of the holder is Vivo Capital VIII, LLC, of which the Reporting Person is a voting member. The Reporting Person may be deemed to share voting and dispositive power over these shares with four (4) other voting members. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
- Reflects the sale of common stock pursuant to that certain Underwriting Agreement, dated August 17, 2018, among the Issuer, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., the other selling stockholders party thereto and B. Riley FBR, Inc. as underwriter.
- Reflects the exercise of common stock purchase warrants (the "Cash Warrants") issued on August 3, 2017. In connection with such exercise, (i) the exercise price of the Cash Warrants was reduced from $6.39 per share to $4.40 per share and (ii) the 9.99% beneficial ownership limit applicable to the Cash Warrants was removed.
- The Series D Convertible Preferred Stock has no expiration date.
- Reflects the surrender of common stock purchase warrants issued on August 3, 2017 to provide the holders with full-ratchet anti-dilution protection with respect to the conversion price of their Series D Convertible Preferred Stock (the "Dilution Warrants"), to the Issuer for cancellation pursuant to the Warrant Exercise Agreements (as defined below). At the time of surrender, the Dilution Warrants were not exercisable for any shares.
- The warrants were issued pursuant to those certain Warrant Exercise Agreements, each dated August 17, 2018, between the Issuer and each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. (the "Warrant Exercise Agreements") in exchange for such holders exercising their Cash Warrants for cash and surrendering their Dilution Warrants for cancellation.
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