Filing Details

Accession Number:
0001365916-22-000129
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2022-09-23 16:20:37
Reporting Period:
2022-09-20
Accepted Time:
2022-09-23 16:20:37
Original Submission Date:
2022-09-22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1365916 Amyris Inc. AMRS () 4/A
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1227255 Frank Kung C/O Amyris, Inc.
5885 Hollis Street, Suite 100
Emeryville CA 94608
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2022-09-20 327,028 $3.60 163,512 No 4 S Indirect by Vivo Opportunity Fund Holdings, LP
Common Stock Disposition 2022-09-20 72,972 $3.60 36,488 No 4 S Indirect by Vivo Capital Fund IX, LP
Common Stock Disposition 2022-09-21 163,512 $3.50 0 No 4 S Indirect by Vivo Opportunity Fund Holdings, LP
Common Stock Disposition 2022-09-21 36,488 $3.50 0 No 4 S Indirect by Vivo Capital Fund IX, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect by Vivo Opportunity Fund Holdings, LP
No 4 S Indirect by Vivo Capital Fund IX, LP
No 4 S Indirect by Vivo Opportunity Fund Holdings, LP
No 4 S Indirect by Vivo Capital Fund IX, LP
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 6,796,205 Indirect by Vivo Capital Fund VIII, L.P.
Common Stock 938,416 Indirect by Vivo Capital Surplus Fund VIII, L.P.
Common Stock 16,207 Indirect by Vivo Capital LLC
Common Stock 80,000 Direct
Footnotes
  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.