0001365916-22-000125.txt : 20220919
0001365916-22-000125.hdr.sgml : 20220919
20220919210006
ACCESSION NUMBER: 0001365916-22-000125
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220915
FILED AS OF DATE: 20220919
DATE AS OF CHANGE: 20220919
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kung Frank
CENTRAL INDEX KEY: 0001227255
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34885
FILM NUMBER: 221251952
MAIL ADDRESS:
STREET 1: C/O VIVO CAPITAL
STREET 2: 505
CITY: PALO ALTO
STATE: CA
ZIP: 94301
FORMER NAME:
FORMER CONFORMED NAME: KUNG FRANK
DATE OF NAME CHANGE: 20030414
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
wf-form4_166363558791857.xml
FORM 4
X0306
4
2022-09-15
0
0001365916
AMYRIS, INC.
AMRS
0001227255
Kung Frank
C/O AMYRIS, INC.
5885 HOLLIS STREET, SUITE 100
EMERYVILLE
CA
94608
1
0
0
0
Common Stock
2022-09-15
4
S
0
1132333
4.20
D
2055185
I
by Vivo Opportunity Fund Holdings, LP
Common Stock
2022-09-15
4
S
0
252667
4.20
D
458591
I
by Vivo Capital Fund IX, LP
Common Stock
2022-09-16
4
S
0
681117
3.60
D
1374068
I
by Vivo Opportunity Fund Holdings, LP
Common Stock
2022-09-16
4
S
0
151983
3.60
D
306608
I
by Vivo Capital Fund IX, LP
Common Stock
2022-09-19
4
S
0
883528
3.80
D
490540
I
by Vivo Opportunity Fund Holdings, LP
Common Stock
2022-09-19
4
S
0
197148
3.80
D
109460
I
by Vivo Capital Fund IX, LP
Common Stock
6796205
I
by Vivo Capital Fund VIII, L.P.
Common Stock
938416
I
by Vivo Capital Surplus Fund VIII, L.P.
Common Stock
16207
I
by Vivo Capital LLC
Common Stock
80000
D
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.
The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $3.60 to $4.90, 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.
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.
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.
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 $3.70, 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.
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 $4.00, 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 (6) to this Form 4.
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.
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.
/s/ Frank Kung by Bruna Lawant Attorney-in-Fact
2022-09-19