SEC Form 4 · accession 0001365916-15-000042
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Jul 29, 2015
Accepted (ET)
Jul 31, 2015 · 6:37 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 | Jul 29, 2015 | P | 9,615,384 | $1.56 | A | 12,837,009 | I | by Foris Ventures, LLC |
| Common Stock | holding | — | — | — | 12,000 | D | ||
| Common StockF3 | holding | — | — | — | 144,707 | I | by Clarus LLC | |
| Common StockF4 | holding | — | — | — | 3,724,558 | I | by Kleiner Perkins Caulfield & Byers | |
| Common StockF5 | holding | — | — | — | 67,952 | I | by KPCB XII Founders Fund, LLC | |
| Common StockF6 | holding | — | — | — | 8,503 | I | by The Vallejo Ventures Trust U/T/A 2/12/96 |
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,F7 | $0.01 | Jul 29, 2015 | P | 961,538 | A | — | Jul 29, 2020 | Common Stock | 961,538 | 961,538 | I |
Explanation of responses
- F1Purchase was pursuant to that certain Securities Purchase Agreerrent dated as of July 24, 2015 by and between the Issuer and the purchasers set forth therein, including Foris Ventures, LLC (the "Purchase Agreement").
- F2The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F3The Reporting Person is the manager of Clarus, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
- F4The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
- F5The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
- F6The Reporting Person is a Trustee of The Vallejo Ventures Trust U/T/A 2/12/96.
- F7The warrant is exerciseable only upon approval of a majority of the Issuer's stockholders.