SEC Form 4 · accession 0001571049-17-004049

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

Apr 20, 2017

Accepted (ET)

Apr 27, 2017 · 6:59 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^F1	Apr 20, 2017	J	64,178,185	—	D	0	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
1.5% Senior Convertible Note^F1,F2	$3.08	Apr 20, 2017	J	—	D	—	—	Common Stock	—	D
6.5% Convertible Senior Notes Due 2019^F1,F3	$3.74	Apr 20, 2017	J	—	D	—	—	Common Stock	—	D
Tranche I Senior Convertible Note^F1,F4	$2.44	Apr 20, 2017	J	—	D	—	—	Common Stock	—	D
Tranche II Senior Convertible Note^F1,F5	$2.87	Apr 20, 2017	J	—	D	—	—	Common Stock	—	D
Warrants (right to buy)^F6,F1	$0.01	Apr 20, 2017	J	2,000,000	D	—	Jul 29, 2020	Common Stock	2,000,000	D
Warrants (right to buy)^F6,F1	$0.01	Apr 20, 2017	J	128,205	D	—	Jul 29, 2020	Common Stock	128,205	D

Explanation of responses

F1The securities reported herein were transferred by the Reporting Person to Total Raffinage Chimie, an affiliated entity of the Reporting Person, in connection with a reorganization of the Reporting Person and affiliated entities, and may not be considered a sale of securities under Section l6(b). The parent of the Reporting Person, Total S.A., continues to beneficially own the securities reported herein.
F2The principal amount of this note is $3,700,000, and the initial conversion price is $3.08 per share, subject to adjustment as set forth therein. This note is convertible only in those circumstances described in the note. The Final Maturity Date as defined in the note is March 1, 2017.
F3The principal amount of the 6.5% Notes is $9,705,000 and the initial conversion rate is initially 267.0370 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as set forth therein. The 6.5% Notes are convertible only in those circumstances described in the 6.5% Notes. The Final Maturity Date as defined in the 6.5% Notes is May 15, 2019.
F4The principal amount of the Tranche I Note is $9,252,184.41. The Tranche Note is convertible only in those circumstances described in the Tranche Note. The Final Maturity Date as defined in the Tranche Note is October 16, 2018.
F5The principal amount of the Tranche II Note is $6,042,064.77. The Tranche Note is convertible only in those circumstances described in the Tranche Note. The Final Maturity Date as defined in the Tranche Note is January 15, 2019.
F6This warrant is exercisable upon satisfaction of the Exercise Condition as described in the warrant.