Amended Statement of Changes in Beneficial Ownership (4/a)
September 23 2022 - 04:21PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 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 * Kung
Frank |
2. Issuer Name and Ticker or Trading
Symbol AMYRIS, INC. [ AMRS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
C/O AMYRIS, INC., 5885 HOLLIS STREET, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/20/2022
|
(Street)
EMERYVILLE, CA 94608
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/22/2022
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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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
9/20/2022 |
|
S(1) |
|
327028 |
D |
$3.60 (2) |
163512 |
I |
by Vivo Opportunity Fund Holdings,
LP (3) |
Common Stock |
9/20/2022 |
|
S(1) |
|
72972 |
D |
$3.60 (2) |
36488 |
I |
by Vivo Capital Fund IX, LP (4) |
Common Stock |
9/21/2022 |
|
S(1) |
|
163512 |
D |
$3.50 (5) |
0 |
I |
by Vivo Opportunity Fund Holdings,
LP (3) |
Common Stock |
9/21/2022 |
|
S(1) |
|
36488 |
D |
$3.50 (5) |
0 |
I |
by Vivo Capital Fund IX, LP (4) |
Common Stock |
|
|
|
|
|
|
|
6796205 |
I |
by Vivo Capital Fund VIII, L.P. (6) |
Common Stock |
|
|
|
|
|
|
|
938416 |
I |
by Vivo Capital Surplus Fund VIII,
L.P. (6) |
Common Stock |
|
|
|
|
|
|
|
16207 |
I |
by Vivo Capital LLC (7) |
Common Stock |
|
|
|
|
|
|
|
80000 |
D |
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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 |
Explanation of
Responses: |
(1) |
The sales reported on this
Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan
adopted by each of Vivo Capital Fund IX, L.P. and Vivo Opportunity
Fund Holdings, L.P. on August 15, 2022. These sales complete this
trading plan and there are no additional shares to be sold under
this trading plan. As a result of such sales, the remaining
beneficial ownership of Vivo affiliates is approximately 2.4%.
These sales are part of the portfolio exit plan for these specific
Vivo funds. |
(2) |
The price reported herein is
a weighted average price. These shares were sold on the open market
in multiple transactions at prices ranging from $3.50 to $3.90,
inclusive. The reporting person undertakes to provide to the
Issuer, any security holder of the Issuer, or the staff of the
Securities and Exchange Commission, upon request, full information
regarding the number of shares sold at each separate price within
the ranges set forth in footnote (2) to this Form 4. |
(3) |
The General Partner of Vivo
Opportunity Fund Holdings, L.P. is Vivo Opportunity, LLC, of which
the Reporting Person is a voting member. The Reporting Person may
be deemed to share voting and dispositive power over these shares
with four (4) other voting members. The Reporting Person disclaims
beneficial ownership over such shares except to the extent of his
pecuniary interest therein, and the inclusion of these shares in
this report shall not be deemed an admission of beneficial
ownership of the reported shares for purposes of Section 16 or for
any other purposes. |
(4) |
The General Partner of Vivo
Capital Fund IX, L.P. is Vivo Capital IX, LLC, of which the
Reporting Person is a voting member. The Reporting Person may be
deemed to share voting and dispositive power over these shares with
six (6) other voting members. The Reporting Person disclaims
beneficial ownership over such shares except to the extent of his
pecuniary interest therein, and the inclusion of these shares in
this report shall not be deemed an admission of beneficial
ownership of the reported shares for purposes of Section 16 or for
any other purposes. |
(5) |
The price reported herein is
a weighted average price. These shares were sold on the open market
in multiple transactions at prices ranging from $3.40 to $3.60,
inclusive. The reporting person undertakes to provide to the
Issuer, any security holder of the Issuer, or the staff of the
Securities and Exchange Commission, upon request, full information
regarding the number of shares sold at each separate price within
the ranges set forth in footnote (5) to this Form 4. |
(6) |
The General Partner of Vivo
Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. is
Vivo Capital VIII, LLC, of which the Reporting Person is a voting
member. The Reporting Person may be deemed to share voting and
dispositive power over these shares with four (4) other voting
members. The Reporting Person disclaims beneficial ownership over
such shares except to the extent of his pecuniary interest therein,
and the inclusion of these shares in this report shall not be
deemed an admission of beneficial ownership of the reported shares
for purposes of Section 16 or for any other purposes. |
(7) |
Pursuant to an agreement
dated November 2, 2017 between the Reporting Person and Vivo
Capital LLC ("Vivo Capital"), the Reporting Person agreed to remit
the equity compensation received under Issuer's non-employee
director compensation program to Vivo Capital if and when such
equity compensation becomes vested and/or exercised. |
Remarks:
This Form 4/A is filed to provide additional information in
footnote 1. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Kung Frank
C/O AMYRIS, INC.
5885 HOLLIS STREET, SUITE 100
EMERYVILLE, CA 94608 |
X |
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|
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Signatures
|
/s/ Frank Kung by Bruna Lawant
Attorney-in-Fact |
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9/23/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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