SEC Form 4 · accession 0001144204-18-054384
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raffinage Chimie Total
Director · 10% Owner · Other
Period of report
Oct 16, 2018
Accepted (ET)
Oct 18, 2018 · 4:00 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 | Oct 16, 2018 | C | 3,448,821 | $4.40 | A | 7,727,367 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Tranche I Senior Convertible NoteF3,F1,F2 | $4.40 | Oct 16, 2018 | C | — | D | — | — | Common Stock | 3,448,821 | 0 | D |
Explanation of responses
- F1Conversion of a derivative security at a fixed exercise price and is exempt from Section 16(b) pursuant to Rule 16b-6(b).
- F2The Tranche I Note is convertible only in those circumstances described in the Tranche I Note. The Final Maturity Date as defined in the Tranche I Note is October 16, 2018.
- F3The original principal amount of the Tranche I Note is $9,252,184.41.