Statement of Changes in Beneficial Ownership (4)
April 21 2021 - 6:20PM
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
*
FOSTER ANDREW B |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President |
(Last)
(First)
(Middle)
20400 STEVENS CREK BLVD, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/19/2021 |
(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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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) | $2.54 | 4/19/2021 | | D | | | 68000 | 8/19/2016 (1) | 5/21/2026 | Common stock and Series B Preferred | 78500 | $18.6479 | 32000 | D | |
Option (right to buy) | $1.72 | 4/19/2021 | | D | | | 90942 | 4/19/2017 | 1/19/2027 | Common stock and Series B Preferred | 100000 | $18.6479 (2)(3) | 9058 | D | |
Option (right to buy) | $0.92 | 4/19/2021 | | D | | | 33304 | 9/6/2019 | 6/5/2029 | Common stock and Series B Preferred | 35000 | $18.6479 (4) | 26696 | D | |
Option (right to buy) | $0.86 | 4/19/2021 | | D | | | 39779 | 4/9/2020 | 1/9/2030 | Common stock and Series B Preferred | 41666 | $18.6479 (5) | 60221 | D | |
Option (right to buy) | $2.59 | 4/19/2021 | | D | | | 4138 | 3/10/2016 | 12/10/2025 | Common stock and Series B Preferred | 20000 | $18.6479 (6) | 13134 | D | |
Option (right to buy) | $2.59 | 4/20/2021 | | D | | | 10000 | 3/10/2016 | 12/10/2025 | Common stock and Series B Preferred | 13134 | $17.7075 (6) | 3134 | D | |
Explanation of Responses: |
(1) | 1/12th of the Option Shares vest every three(3)months from the date of the grant. |
(2) | The 1-19-2017 option grant was exercised and sold through 10b5-1 plan. |
(3) | The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below |
(4) | The 6-06-2019 option grant was exercised and sold through 10b5-1 plan. |
(5) | The 1-9-2020 option grant was exercised and sold through 10b5-1 plan. |
(6) | The shares were exercised from warrant grant 12/10/2015 and sold through executing the 10b5-1 plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FOSTER ANDREW B 20400 STEVENS CREK BLVD, SUITE 700 CUPERTINO, CA 95014 |
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| Executive Vice President |
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Signatures
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/s/Todd Waltz attorney-infact | | 4/21/2021 |
**Signature of Reporting Person | Date |
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