FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SOLAZYME INC [ SZYM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/18/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/18/2012 | J(1) | 670,613 | D | $0 | 4,023,677 | I | By The Roda Group Investment Fund XIV, LLC(2) | ||
Common Stock | 05/18/2012 | J(1) | 12,407 | D | $0 | 74,440 | I | By The Roda Group Investment Fund XV, LLC(2) | ||
Common Stock | 05/18/2012 | J(1) | 151,170 | D | $0 | 907,022 | I | By The Roda Group Investment Fund XVII, LLC(2) | ||
Common Stock | 05/18/2012 | J(1) | 303,666 | D | $0 | 1,821,999 | I | By The Roda Group Investment Fund XVIII, LLC(2) | ||
Common Stock | 05/18/2012 | J(1) | 145,463 | D | $0 | 872,776 | I | By The Roda Group Investment Fund XIX, LLC(2) | ||
Common Stock | 05/18/2012 | J(1) | 75,809 | D | $0 | 454,850 | I | By The Roda Group Investment Fund XX, LLC(2) | ||
Common Stock | 05/18/2012 | J | 128,048 | A | $0 | 1,375,952(3) | I | By The Daniel H. Miller Revocable Trust(4) | ||
Common Stock | 05/18/2012 | J | 125,505 | A | $0 | 1,063,316(5) | I | By The Strauch Kulhanjian Family Trust(6) | ||
Common Stock | 343,775(7) | D | ||||||||
Common Stock | 25,000(8) | D | ||||||||
Common Stock | 05/18/2012 | J | 1,721 | A | $0 | 51,864(9) | I | The Emmeline Maeve McPherson Miller Trust(10) | ||
Common Stock | 05/18/2012 | J | 481 | A | $0 | 69,415(11) | I | The DCM Educational Trust(10) | ||
Common Stock | 05/18/2012 | J | 1,721 | A | $0 | 51,864(12) | I | The Cooper Ogden Miller Trust(10) | ||
Common Stock | 297,147 | I | The Strauch Kulhanjian 2007 Irrevocable Children's Trust(10) | |||||||
Common Stock | 05/18/2012 | J | 7,934 | A | $0 | 9,583(13) | I | The Strauch 1994 Grandchildren's Trust II(14) | ||
Common Stock | 05/18/2012 | J | 0 | A | $0 | 60,000(15) | I | The Paul Kulhanjian Strauch 2007 Irrevocable Trust(10) | ||
Common Stock | 05/18/2012 | J | 0 | A | $0 | 60,000(15) | I | The Nairi Susan Kulhanjian Strauch 2007 Irrevocable Trust(10) | ||
Common Stock | 05/18/2012 | J | 0 | A | $0 | 60,000(15) | I | The Alexan Kulhanjian Strauch 2007 Irrevocable Trust(10) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Pro rata distribution to members. |
2. The Reporting Person and Roger A. Strauch are the managing members of the LLC and share voting and dispositive power over the shares held. The Reporting Person and Mr. Strauch disclaim beneficial ownership of the securities held by the LLC except to each of their pecuniary interest therein. |
3. Includes 32,255, 64, 7,656, 85,930, 1,384 and 758 shares received from distributions by The Roda Group Investment Fund XIV, LLC, The Roda Group Investment Fund XV, LLC, The Roda Group Investment Fund XVII, LLC, The Roda Group Investment Fund XVIII, LLC, The Roda Group Investment Fund XIX, LLC and The Roda Group Investment Fund XX, LLC, respectively. Also includes a distribution effected on February 28, 2012 of 3,179, 64, 1,481, 74,450, 1,384 and 758 shares by The Roda Group Investment Fund XIV, LLC, The Roda Group Investment Fund XV, LLC, The Roda Group Investment Fund XVII, LLC, The Roda Group Investment Fund XVIII, LLC, The Roda Group Investment Fund XIX, LLC and The Roda Group Investment Fund XX, LLC, respectively. |
4. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose. |
5. Includes 30,738, 64, 7,496, 85,171, 1,278 and 758 shares received from distributions by The Roda Group Investment Fund XIV, LLC, The Roda Group Investment Fund XV, LLC, The Roda Group Investment Fund XVII, LLC, The Roda Group Investment Fund XVIII, LLC, The Roda Group Investment Fund XIX, LLC and The Roda Group Investment Fund XX, LLC, respectively. Also includes a distribution effected on February 28, 2012 of 3,179, 64, 1,481, 74,244, 1,278 and 758 shares by The Roda Group Investment Fund XIV, LLC, The Roda Group Investment Fund XV, LLC, The Roda Group Investment Fund XVII, LLC, The Roda Group Investment Fund XVIII, LLC, The Roda Group Investment Fund XIX, LLC and The Roda Group Investment Fund XX, LLC, respectively. |
6. Mr. Strauch disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose. |
7. Shares held by Mr. Strauch. |
8. Shares held by Reporting Person. |
9. Includes 1,721 shares distributed by various Roda Group Investment Funds on 5/18/2012 as well as 618 shares distributed on 2/28/2012. |
10. Mr. Strauch, as trustee, disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose. |
11. Includes 481 shares distributed by various Roda Group Investment Funds on 5/18/2012 as well as 618 shares distributed on 2/28/2012. |
12. Includes 1,721 shares distributed by various Roda Group Investment Funds on 5/18/2012 as well as 618 shares distributed on 2/28/2012. |
13. Includes 1,861 and 6,073 shares received from distributions by The Roda Group Investment Fund XIV, LLC and The Roda Group Investment Fund XVIII, LLC, respectively. Also includes a distribution effected on February 28, 2012 of 1,649 shares by The Roda Group Investment Fund XVIII, LLC. |
14. The Reporting Person, as trustee, disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose. |
15. Includes 60,000 shares transferred from the The Strauch Kulhanjian Family Trust. |
/s/ Daniel H. Miller | 05/21/2012 | |
/s/ Roger A. Strauch | 05/21/2012 | |
/s/ Roger A. Strauch, as managing member | 05/21/2012 | |
/s/ Roger A. Strauch, as managing member | 05/21/2012 | |
/s/ Roger A. Strauch, as managing member | 05/21/2012 | |
/s/ Roger A. Strauch, as managing member | 05/21/2012 | |
/s/ Roger A. Strauch, as managing member | 05/21/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |