SEC Form 4 · accession 0001144204-18-058986
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
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 8:01 am 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 StockF1 | Nov 8, 2018 | C | 2,226,105 | $4.40 | A | 9,953,472 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Tranche II Senior Convertible NoteF3,F1,F2 | $4.40 | Nov 8, 2018 | C | — | D | — | — | Common Stock | 2,226,105 | 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 II Note is convertible only in those circumstances described in the Tranche II Note. The Final Maturity Date as defined in the Tranche II Note is January 15, 2019.
- F3The original principal amount of the Tranche II Note is $6,042,064.77.