SEC Form 4 · accession 0001209191-15-075822
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philippe Boisseau
Director · 10% Owner
Period of report
Oct 14, 2015
Accepted (ET)
Oct 16, 2015 · 5:36 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 StockF2 | Oct 14, 2015 | M | 18,924,192 | $1.4182 | A | 64,258,237 | I | See footnote |
| Common StockF2 | Oct 14, 2015 | S | 80,052 | $2.364 | D | 64,178,185 | I | See footnote |
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)F3,F4,F2,F5 | $1.4182 | Oct 14, 2015 | M | 18,924,192 | D | — | Jul 29, 2020 | Common Stock | 18,924,192 | 0 | I |
Explanation of responses
- F1Shares were issued upon Total Energies Nouvelles Activites USA'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 Total Energies Nouvelles Activites USA (the "Exchange Agreement").
- F2Held of record by Total Energies Nouvelles Activites USA. Mr. Boisseau, a member of the Issuer's board of directors by deputization, is a member of the Executive Committee of Total S.A., the ultimate parent company of Total Energies Nouvelles Activites USA, and, as such, may be deemed to share voting or investment power over the securities held by Total Energies Nouvelles Activites USA. Mr. Boisseau holds no shares of the Issuer directly and disclaims beneficial ownership of the Common Stock, except to the extent of his pecuniary interest therein, if any.
- F3Warrant was issued in connection with the Exchange Agreement, and is a derivative security exempted pursuant to Rule 16b-3.
- F4The shares underlying this warrant were determined upon satisfaction of the Exercise Condition as described in the warrant.
- F5This warrant became exercisable upon satisfaction of the Exercise Condition as described in the warrant.