FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/23/2011 |
3. Issuer Name and Ticker or Trading Symbol
Kior Inc [ KIOR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 60,000 | D | |
Common Stock(1) | 895,520 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (2) | 07/27/2020 | Class A Common Stock | 1,170,470 | $1.98 | D | |
Stock Option (Right to Buy) | (3) | 07/27/2020 | Class A Common Stock | 709,368 | $1.98 | D | |
Stock Option (Right to Buy) | 06/15/2008 | 04/22/2019 | Class A Common Stock | 685,712 | $0.0838 | D | |
Stock Option (Right to Buy) | (4) | 04/22/2019 | Class A Common Stock | 2,400,008 | $0.0838 | D |
Explanation of Responses: |
1. Upon the closing of the Issuer's anticipated initial public offering, each reported share of Common Stock will be redesignated as one share of Class B Common Stock. |
2. These options vested and shall vest in 48 equal monthly installments commencing on June 1, 2010. |
3. These options vested upon the achievement of performance conditions in November 2010 and February 2011. |
4. These options vested as to one-fifth of total number of shares subject to the option on June 15, 2009, the one-year anniversary of the vesting commencement date of such options, and the remainder vested and will vest in 48 equal monthly installments thereafter until the fifth anniversary of the vesting commencement date. |
Remarks: |
Exhibit List ------------------ Exhibit 24 - Power of Attorney |
/s/ Christopher A. Artzer, Attorney-in-Fact | 06/23/2011 | |
** 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 5 (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. |