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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (Right to Buy) | $ 0.01 | 02/12/2016 | P(1) | 285,714 | 05/17/2016(2) | 02/12/2021 | Common Stock | 285,714 | $ 1.39 | 285,714 | I | by Biolding Investment SA (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Al Thani Sheikh Abdullah bin Khalifa C/O AMYRIS, INC. 5885 HOLLIS STREET, SUITE 100 EMERYVILLE, CA 94608 |
X |
/s/ HH Sheikh Abdullah bin Khalifa Al Thani by Nicholas Khadder, Attorney-in-Fact | 05/19/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Purchase was made pursuant to that certain Note and Warrant Purchase Agreement dated as of February 12, 2016 by and among the Issuer and the purchasers set forth therein, including Biolding Investment SA. |
(2) | The exercisability of the warrants was subject to stockholder approval, which was obtained on May 17, 2016. |
(3) | The Reporting Person is a director of Biolding Investment SA ("Biolding") and indirectly holds a majority of Biolding's outstanding shares, and, as such, may be deemed to share voting and investment power over the securities held by Biolding. The Reporting Person disclaims beneficial ownership of the securities held by Biolding, except to the extent of his pecuniary interest therein. |