Statement of Changes in Beneficial Ownership (4)
January 11 2021 - 5:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Beebe Lydia I |
2. Issuer Name and Ticker or Trading Symbol
AEMETIS, INC
[
AMTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
20400 STEVENS CREK BLVD, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/7/2021 |
(Street)
CUPERTINO, CA 95014
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock (1) | 1/7/2021 | | A | | 1300 (2) | A | $0 | 1300 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option (right to buy) | $3.09 | 1/7/2021 | | A | | 60000 | | 1/8/2021 (3) | 1/7/2031 | Common stock and Series B Preferred | 60000 (4) | $0 | 60000 (4) | D | |
Explanation of Responses: |
(1) | RSA with Immediate vest vesting schedule |
(2) | Grant of Restricted Stock Awards under the Aemetis, Inc. 2019 Stock Plan to acquire 1,300 shares of the Company's Common Stock ("Option Shares") subject to the terms of the Restricted Stock Award Agreement between the Reporting Person and the Company. |
(3) | 100% vest Immediately |
(4) | Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.09 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Beebe Lydia I 20400 STEVENS CREK BLVD, SUITE 700 CUPERTINO, CA 95014 | X |
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Signatures
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/s/Todd Waltz attorney-infact | | 1/11/2021 |
**Signature of Reporting Person | Date |
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