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