0000899243-23-000770.txt : 20230104
0000899243-23-000770.hdr.sgml : 20230104
20230104215029
ACCESSION NUMBER: 0000899243-23-000770
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200814
FILED AS OF DATE: 20230104
DATE AS OF CHANGE: 20230104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOERR L JOHN
CENTRAL INDEX KEY: 0001032455
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 23509599
MAIL ADDRESS:
STREET 1: C/O KLEINER PERKINS CAUFIELD & BYERS
STREET 2: 2750 SAND HILL ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foris Ventures, LLC
CENTRAL INDEX KEY: 0001749713
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 23509598
BUSINESS ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 650-384-0240
MAIL ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Doerr Ann Howland
CENTRAL INDEX KEY: 0001750962
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 23509597
MAIL ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hager Barbara
CENTRAL INDEX KEY: 0001750733
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 23509596
MAIL ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vallejo Ventures Trust UTA 21296
CENTRAL INDEX KEY: 0001750751
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 23509595
BUSINESS ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 6503840240
MAIL ADDRESS:
STREET 1: 751 LAUREL STREET, #717
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMYRIS, INC.
CENTRAL INDEX KEY: 0001365916
STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860]
IRS NUMBER: 550856151
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5885 HOLLIS STREET, SUITE 100
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: 510-450-0761
MAIL ADDRESS:
STREET 1: 5885 HOLLIS STREET, SUITE 100
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
FORMER COMPANY:
FORMER CONFORMED NAME: AMYRIS BIOTECHNOLOGIES INC
DATE OF NAME CHANGE: 20060613
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-08-14
0
0001365916
AMYRIS, INC.
AMRS
0001032455
DOERR L JOHN
C/O 5885 HOLLIS STREET, SUITE 100
EMERYVILLE
CA
94608
1
0
1
0
0001749713
Foris Ventures, LLC
751 LAUREL STREET
#717
SAN CARLOS
CA
94070
0
0
1
0
0001750962
Doerr Ann Howland
751 LAUREL STREET
#717
SAN CARLOS
CA
94070
0
0
1
0
0001750733
Hager Barbara
751 LAUREL STREET
#717
SAN CARLOS
CA
94070
0
0
1
0
0001750751
Vallejo Ventures Trust UTA 21296
751 LAUREL STREET
#717
SAN CARLOS
CA
94070
0
0
1
0
Common Stock
2022-12-30
4
A
0
13333334
1.50
A
87268358
I
By Foris Ventures, LLC
Common Stock
4531
I
By KPCB XII Founders Fund, LLC
Common Stock
248304
I
By Kleiner Perkins Caufield & Byers XII, LLC
Common Stock
3333333
I
By Perrara Ventures, LLC
Common Stock
9648
I
By Clarus, LLC
Common Stock
567
I
By The Vallejo Ventures Trust U/T/A 2/12/96
Common Stock
106155
D
6% Convertible Note due 2023
3.00
2020-08-14
4
P
0
50041000.00
A
2023-07-01
Common Stock
50041000.00
50041000.00
I
By Foris Ventures, LLC
Warrant (Right to Buy)
1.80
2022-12-30
4
A
0
10000000
A
2027-12-30
Common Stock
10000000
10000000
I
By Foris Ventures, LLC
On December 29, 2022, the Issuer entered into a security purchase agreement with Foris Ventures, LLC ("FV"), pursuant to which the Issuer issued and sold to FV in a private placement (i) 13,333,334 shares of the Issuer's common stock (the "Common Stock") and (ii) a warrant to purchase up to 10,000,000 shares of Common Stock, for an aggregate purchase price of $20,000,000.
L. John Doerr ("John Doerr") indirectly holds all of the membership interests in FV. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of the Reporting Persons is deemed to be a director by deputization. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.
The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.
John Doerr indirectly holds all of the membership interests in Perrara Ventures, LLC. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
John Doerr and Ann Doerr are the trustees of VVT, which is the member of Clarus, LLC. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Clarus, LLC. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Clarus, LLC except to the extent of their pecuniary interest therein, if any.
John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by VVT. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by VVT except to the extent of their pecuniary interest therein, if any.
On October 28, 2019, the Issuer, FV, as lender, and the other parties thereto entered into that certain Amended and Restated Loan and Security Agreement (the "LSA"), pursuant to which the Issuer issued certain indebtedness to FV. On June 1, 2020, the parties to the LSA entered into Amendment No. 1 thereto, pursuant to which the Issuer granted FV the right to convert, at its option, all or any portion of the indebtedness outstanding under the LSA (the "2019 Convertible Note"), including accrued and unpaid interest, into shares of Common Stock, subject to stockholder approval, which was granted on August 14, 2020. As of January 4, 2023, 16,680,334 shares of Common Stock are issuable upon conversion of the 2019 Convertible Note in respect of an outstanding principal amount of $50 million and 3,701,734 shares of Common Stock are issuable upon conversion of accrued and unpaid interest of $11.1 million, reflecting a fixed conversion price of $3.00 per share of Common Stock.
The warrant is exercisable at a price of $1.80 per full share of Common Stock at any time after the date of issuance for a period of five years.
/s/ L. John Doerr, by Barbara Hager as his attorney in fact
2023-01-04
/s/ Ann Howland Doerr, by Barbara Hager as her attorney in fact
2023-01-04
/s/ Vallejo Ventures Trust UTA 21296, by Barbara Hager as Special Trustee
2023-01-04
/s/ Foris Ventures, LLC, by Barbara Hager as manager
2023-01-04
/s/ Barbara Hager
2023-01-04