SEC Form 4 · accession 0001140361-18-043570

AMYRIS, INC. · AMRS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Director · 10% Owner

Director · 10% Owner

Period of report

Nov 19, 2018

Accepted (ET)

Nov 21, 2018 · 4:17 pm EST

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 Stock^F1,F2	Nov 19, 2018	A	1,643,991	—	A	10,328,951	I	See footnote
Common Stock^F2	Nov 19, 2018	X	964,837	$0.0015	A	11,293,788	I	See footnote
Common Stock^F2	Nov 19, 2018	X	1,713,565	$0.0001	A	13,007,353	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants (right to buy)^F2	$0.0015	Nov 19, 2018	J	964,837	A	Nov 19, 2018	Jul 10, 2022	Common Stock	964,837	964,837	I
Warrants (right to buy)^F2	$0.0001	Nov 19, 2018	J	1,713,565	A	Nov 19, 2018	May 23, 2023	Common Stock	1,713,565	1,713,565	I
Warrants (right to buy)^F2	$0.0015	Nov 19, 2018	X	964,837	D	Nov 19, 2018	Jul 10, 2022	Common Stock	964,837	0	I
Warrants (right to buy)^F2	$0.0001	Nov 19, 2018	X	1,713,565	D	Nov 19, 2018	May 23, 2023	Common Stock	1,713,565	0	I

F1In consideration of certain agreements of affiliates of the Reporting Persons set forth in a commercial agreement entered into with the Issuer on November 19, 2018, the Issuer's board of directors approved the issuance of the shares reported herein.
F2The 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.
F3In connection with an investment in the Issuer by a third party on August 3, 2017, as agreed by DSM International B.V. and the Issuer on November 19, 2018, the anti-dilution provisions of the Warrants were triggered, resulting in the Warrants becoming exercisable for 964,837 shares of Common Stock at an exercise price of $0.0015 per share, which Warrants were exercised by the Reporting Persons on November 19, 2018.
F4In connection with amendments to existing securities of the Issuer held by a third party on August 17, 2018, as agreed by DSM International B.V. and the Issuer on November 19, 2018, the anti-dilution provisions of the Warrants were triggered, resulting in the Warrants becoming exercisable for 1,713,565 shares of Common Stock at an exercise price of $0.0001 per share, which Warrants were exercised by the Reporting Persons on November 19, 2018.