SEC Form 4 · accession 0001365916-18-000029
AMYRIS, INC. · AMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Kung
Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 7:31 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 | Nov 1, 2018 | J | 667 | $0.00 | D | 3,599 | D | |
| Common StockF2,F3 | Nov 1, 2018 | J | 667 | $0.00 | A | 667 | I | by Vivo Capital LLC |
| Common StockF4 | holding | — | — | — | 4,898,670 | I | by Vivo Capital Fund VIII, L.P. | |
| Common StockF4 | holding | — | — | — | 676,448 | I | by Vivo Capital Surplus Fund VIII, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to an agreement dated November 2, 2017 between the Reporting Person and Vivo Capital LLC ("Vivo Capital"), the Reporting Person agreed to remit the equity compensation received under Issuer's non-employee director compensation program to Vivo Capital if and when such equity compensation becomes vested and/or exercised.
- F2Shares transferred to Vivo Capital upon settlement of restricted stock units (RSUs) under RSU award granted on November 6, 2017.
- F3The Reporting Person is a voting member of Vivo Capital and 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.
- F4The 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.