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) 08/01/2013 |
3. Issuer Name and Ticker or Trading Symbol
AMYRIS, INC. [ AMRS ] |
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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) |
Common Stock | 8,778(1) | D | |
Common Stock | 26,114(2) | 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) | (3) | 06/12/2021 | Common Stock | 27,000 | $16(4) | D | |
Stock Option (Right to Buy) | (5) | 04/08/2022 | Common Stock | 22,500 | $3.86 | D | |
Stock Option (Right to Buy) | (6) | 04/08/2022 | Common Stock | 3,000 | $3.86 | D | |
Stock Option (Right to Buy) | (7) | 07/21/2023 | Common Stock | 27,000 | $2.79 | D |
Explanation of Responses: |
1. Represents restricted stock unit (RSU) award granted on April 9, 2012, with a 3-year annual vesting schedule, under which the first 1/3rd of the units vested on April 9, 2013 less 1,222 shares withheld to satisfy the Reporting Person's tax withholding obligation upon settlement following the first vesting date. |
2. Represents restricted stock unit (RSU) award granted on October 15, 2012, with a 3-year annual vesting schedule, under which the first 1/3rd of the units vested on April 1, 2013 less 3,886 shares withheld to satisfy the Reporting Person's tax withholding obligation upon settlement following the first vesting date. |
3. The stock option vested as to 1/4th of the total number of shares subject to the option on May 2, 2012, and thereafter vests as to 1/48th of the total number of shares subject to the option in equal monthly installments. |
4. The stock option was originally granted with an exercise price of $28.61 per share. The stockholders approved at the Issuer's annual meeting of stockholders held on May 24, 2012 a one-time stock option re-pricing program in which the Issuer's employees with eligible stock options would receive a one-time reduction in the exercise price for such options to $16.00 per share. |
5. The stock option vested as to 1/48th of the total number of shares subject to the option on May 9, 2012, and thereafter vests as to 1/48th of the total number of shares subject to the option in equal monthly installments. |
6. The stock option vested as to 100% of the total number of shares subjet to the option on April 9, 2013. |
7. The stock option vests as to 1/4th of the total number of shares subject to the option on April 1, 2014, and thereafter vests as to 1/48th of the total number of shares subject to the option in equal monthly installments. |
Remarks: |
/s/ Karen Weaver by Nicholas Khadder, Attorney-in-Fact | 08/09/2013 | |
** 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. |