Amended Statement of Changes in Beneficial Ownership (4/a)
29 August 2020 - 9:46AM
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
*
Kieftenbeld Hermanus |
2. Issuer Name and Ticker or Trading Symbol
AMYRIS, INC.
[
AMRS
]
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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) CHIEF FINANCIAL OFFICER |
(Last)
(First)
(Middle)
C/O AMYRIS, INC., 5885 HOLLIS STREET, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2020 |
(Street)
EMERYVILLE, CA 94608
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/12/2020 |
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 | 8/10/2020 | | A | | 150000 (1) | A | $0 | 217500 | 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 |
Warrant (Right to Buy) | $3.86 | 8/10/2020 | | A | | 50000 | | (2) | 8/10/2030 | Common Stock | 50000.0 | $0 | 50000 | D | |
Explanation of Responses: |
(1) | Represents a restricted stock unit award that vests in three (3) equal annual installments, with the first 1/3 of the units vesting on September 1, 2021. Due to an unintentional error, the first vesting date of the units was incorrectly listed as September 1, 2020 in the Form 4 filed on August 12, 2020 (the "Prior Form 4"). |
(2) | The stock option vests as to 25% of the shares subject to the option on September 1, 2021, with the remainder vesting over the following three (3) years in equal monthly installments. Due to an unintentional error, the first vesting date of the stock option was incorrectly listed as September 1, 2020 in the Prior Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kieftenbeld Hermanus C/O AMYRIS, INC. 5885 HOLLIS STREET, SUITE 100 EMERYVILLE, CA 94608 |
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| CHIEF FINANCIAL OFFICER |
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Signatures
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/s/ Han Kieftenbeld by Bruna Lawant, Attorney-in-Fact | | 8/28/2020 |
**Signature of Reporting Person | Date |
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