SEC Form 4 · accession 0001140361-18-035484
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 9:47 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 StockF1 | Aug 1, 2018 | A | 2,266 | $0.00 | A | 5,532 | D | |
| Common StockF2,F3 | holding | — | — | — | 5,746,558 | I | By Foris Ventures, LLC | |
| Common StockF4 | holding | — | — | — | 9,648 | I | By Clarus, LLC | |
| Common StockF5 | holding | — | — | — | 248,304 | I | By Kleiner Perkins Caufield & Byers XII, LLC | |
| Common StockF6 | holding | — | — | — | 4,531 | I | By KPCB XII Founders Fund, LLC | |
| Common StockF7 | holding | — | — | — | 567 | I | by The Vallejo Ventures Trust U/T/A 2/12/96 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F8 | $6.96 | Aug 1, 2018 | A | 3,466 | A | — | Aug 1, 2028 | Common Stock | 3,466 | 3,466 | D |
Explanation of responses
- F1Represents a restricted stock unit award that vests as to 100% of the units on August 1, 2019.
- F2Pursuant 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 Ventures, LLC ("Foris") to common stock is being held in abeyance to the extent such conversion would cause Foris to beneficially own in excess of 9.99% of the number of shares of common stock outstanding.
- F3The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F4The 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.
- F5The 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.
- F6The 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.
- F7The Reporting Person is a Trustee of The Vallejo Ventures Trust U/T/A 2/12/96.
- F8Stock option vests as to 100% of the shares underlying the stock option on August 1, 2019.