Home > Insider Trading > Filing (0001365916-21-000011)

Filing Details

Accession Number:: 0001365916-21-000011
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-04-15 19:58:50
Reporting Period:: 2021-04-13

Accepted Time:: 2021-04-15 19:58:50
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-04-13	1,707,830	$4.26	8,463,618	No	4	M	Indirect	by Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-04-13	235,829	$4.26	1,168,689	No	4	M	Indirect	by Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Disposition	2021-04-13	2,733,089	$14.96	5,730,529	No	4	S	Indirect	by Vivo Capital Fund VIII, L.P.
Common Stock	Disposition	2021-04-13	377,384	$14.96	791,305	No	4	S	Indirect	by Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Disposition	2021-04-13	1,281,858	$14.96	3,187,518	No	4	S	Indirect	by Vivo Opportunity Fund, LP
Common Stock	Disposition	2021-04-13	286,032	$14.96	711,258	No	4	S	Indirect	by Vivo Capital Fund IX, LP
Common Stock	Acquisiton	2021-04-14	1,065,676	$4.76	6,796,205	No	4	M	Indirect	by Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-04-14	147,111	$4.76	938,416	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	S	Indirect	by Vivo Opportunity Fund, LP
No	4	S	Indirect	by Vivo Capital Fund IX, LP
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

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant (Right to Buy)	Disposition	2021-04-13	7,275	$0.00	1,707,830	$4.26
Common Stock	Warrant (Right to Buy)	Disposition	2021-04-13	1,005	$0.00	235,829	$4.26
Common Stock	Warrant (Right to Buy)	Disposition	2021-04-14	1,065,676	$4.76	1,065,676	$4.76
Common Stock	Warrant (Right to Buy)	Disposition	2021-04-14	147,111	$4.76	147,111	$4.76

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2017-08-03		No	4	M	Indirect
2017-08-03		No	4	M	Indirect
2019-04-29	2021-04-29	No	4	M	Indirect
2019-04-29	2021-04-29	No	4	M	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,532	Indirect	by Vivo Capital LLC
Common Stock	2,266	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.
Includes shares of common stock received upon automatic conversion of shares of Series E Preferred Stock on August 17, 2020.
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 two (2) 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 April 8, 2019, among the Issuer, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity Fund, LP, Vivo Capital IX, LP, the other selling stockholders party thereto, and J.P. Morgan Securities LLC and Cowen and Company, LLC as underwriters.
Includes shares of common stock received upon conversion of shares of Series D Preferred Stock on April 13, 2021.
The General Partner of the holder is Vivo Opportunity, 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 three (3) 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.
The General Partner of the holder is Vivo Capital IX 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 six (6) 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.
The Reporting Person is a voting member of Vivo Capital LLC and may be deemed to share voting and dispositive power over these shares with five (5) 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.
Represents Series D Convertible Preferred Stock.
The Series D Convertible Preferred Stock has no expiration date.