SEC Form 4 · accession 0001140361-17-030902
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 7, 2017
Accepted (ET)
Aug 9, 2017 · 5:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001365916
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Aug 8, 2017 | J | 7,936,232 | — | A | 7,936,232 | I | See footnote |
| Common StockF3 | Aug 8, 2017 | X | 748,728 | $0.0015 | A | 8,684,960 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF2,F3 | — | Aug 7, 2017 | P | 25,000 | A | — | — | Common Stock | 3,968,116 | 50,000 | I |
| Warrants (right to buy)F3 | $6.30 | Aug 7, 2017 | P | 3,968,116 | A | Aug 7, 2017 | Aug 7, 2022 | Common Stock | 3,968,116 | 0 | I |
| Series B Preferred StockF2,F3 | — | Aug 8, 2017 | J | 50,000 | D | — | — | Common Stock | 7,936,232 | 0 | I |
| Warrants (right to buy)F3 | $0.0015 | Aug 8, 2017 | J | 748,728 | A | Aug 8, 2017 | Jul 7, 2022 | Common Stock | 748,728 | 748,728 | I |
| Warrants (right to buy)F3 | $0.0015 | Aug 8, 2017 | X | 748,728 | D | Aug 8, 2017 | Jul 7, 2022 | Common Stock | 748,728 | 0 | I |
Explanation of responses
- F1On August 8, 2017, the reporting person converted 50,000 shares of Series B Preferred Stock, resulting in the issuance of 7,936,232 shares of Common Stock.
- F2Each share of Series B Preferred Stock is convertible at any time at the option of the holder into approximately 158.7 shares of Common Stock, subject to certain adjustments. The Series B Preferred Stock has no expiration date.
- F3The securities reported herein are held of record by DSM International B.V., which is a wholly owned subsidiary of Koninklijke DSM N.V. Accordingly, Koninklijke DSM N.V. may be deemed to share beneficial ownership of the securities held of record by DSM International B.V. Koninklijke DSM N.V. is a publicly traded company with securities listed on the Amsterdam Stock Exchange.
- F4In connection with an investment in the Issuer by a third party, the anti-dilution provisions of the Warrants were triggered, resulting in the Warrants becoming exercisable for 748,728 shares of Common Stock at an exercise price of $0.0015 per share upon exercise by the reporting person on August 8, 2017.
Remarks
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).