Statement of Changes in Beneficial Ownership (4)
April 26 2021 - 5:25PM
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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3235-0287
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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)
4/22/2021 |
(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) | $4.35 | 4/22/2021 | | D | | | 15316 | 8/21/2015 (2) | 5/21/2022 | Common stock and Series B Preferred | 20000 (3) | $19.3969 (1) | 4684 (3) | D | |
Option (right to buy) | $2.54 | 4/22/2021 | | D | | | 8520 | 8/19/2016 (2) | 5/21/2026 | Common stock and Series B Preferred | 9870 | $19.3969 | 23480 | D | |
Option (right to buy) | $3.09 | 4/22/2021 | | D | | | 8336 | 4/7/2021 | 1/7/2031 | Common stock and Series B Preferred | 10000 | $19.3969 (4) | 116664 | D | |
Explanation of Responses: |
(1) | The 5/21/2015 grant exercised and sold through executing the 10b5-1 plan. |
(2) | 1/12th of the Option Shares vest every three(3)months from the date of the grant. |
(3) | Grant 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. |
(4) | The 1-7-2021 option grant was exercised and sold through 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 | | 4/26/2021 |
**Signature of Reporting Person | Date |
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