SEC Form 4 · accession 0001365916-17-000094
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Kung
Director
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 7:32 pm 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 6, 2017 | A | 2,000 | $0.00 | A | 2,000 | D | |
| Common StockF2 | holding | — | — | — | 2,483,737 | I | by Vivo Capital Fund VIII, L.P. | |
| Common StockF2 | holding | — | — | — | 342,974 | I | by Vivo Captial Surplus Fund VIII, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $3.19 | Nov 6, 2017 | A | 3,000 | A | — | Nov 6, 2027 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Represents a restricted stock unit award that vests in three (3) equal annual installments, with the first 1/3rd of the units vesting on November 1, 2018.
- F2The General Partner of the holder is Vivo Capital VIII, LLC, of which the Reporting Person is a voting member. The Reporting Person may be deemed to share voting and dispositive power over these shares with four (4) other voting members. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
- F3The stock option vests in twelve (12) equal quarterly installments, with the first 1/12th of the shares subject to the option vesting on February 1, 2018.