SEC Form 4 · accession 0001209191-15-075669
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Energies Nouvelles Activites Usa Total
Director · 10% Owner · Other
Period of report
Oct 14, 2015
Accepted (ET)
Oct 16, 2015 · 1:26 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 Stock | Oct 14, 2015 | M | 18,924,192 | $1.4182 | A | 64,258,237 | D | |
| Common Stock | Oct 14, 2015 | S | 80,052 | $2.364 | D | 64,178,185 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F2,F3,F4 | $1.4182 | Oct 14, 2015 | M | 18,924,192 | D | — | Jul 29, 2020 | Common Stock | 18,924,192 | 0 | D |
Explanation of responses
- F1Shares were issued upon the Reporting Person's cashless exercise of the warrant issued pursuant to that certain Exchange Agreement dated as of July 26, 2015 by and between the Issuer and the investors set forth therein, including the Reporting Person (the "Exchange Agreement").
- F2Warrant was issued in connection with the Exchange Agreement, and is a derivative security exempted pursuant to Rule 16b-3.
- F3The shares underlying this warrant were determined upon satisfaction of the Exercise Condition as described in the warrant.
- F4This warrant became exercisable upon satisfaction of the Exercise Condition as described in the warrant.