SEC Form 5 · accession 0001593968-16-000601
AEMETIS, INC · AMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew B Foster
Officer — Executive Vice President
Period of report
Aug 18, 2015
Accepted (ET)
Feb 22, 2016 · 2:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000738214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 18, 2015 | J | 1,100 | $3.33 | D | 2,852 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F3,F2 | $4.35 | holding | — | — | — | Aug 21, 2015 | May 21, 2022 | Common stock and Series B Preferred | 20,000 | 20,000 | D |
| Warrant (right to buy) | $2.59 | holding | — | — | — | Mar 10, 2016 | Dec 10, 2025 | Common stock and Series B Preferred | 20,000 | 20,000 | D |
Explanation of responses
- F1The sale of 1100 shares of common stock happened on 8/18/2015 through 10b5-1 plan set up, however the required Form 4 reporting for this transaction was not happened.
- F21/12th of the Option Shares vest every three(3)months from the date of the grant.
- F3Grant of Incentive Stock Option under the Aemetis, Inc. Ammended and Restated 2007 Stock Plan to purchase 20,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $4.35 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.