0001567619-18-001602.txt : 20180821 0001567619-18-001602.hdr.sgml : 20180821 20180821212908 ACCESSION NUMBER: 0001567619-18-001602 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180817 FILED AS OF DATE: 20180821 DATE AS OF CHANGE: 20180821 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOERR L JOHN CENTRAL INDEX KEY: 0001032455 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34885 FILM NUMBER: 181031329 MAIL ADDRESS: STREET 1: C/O KLEINER PERKINS CAUFIELD & BYERS STREET 2: 2750 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 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 doc1.xml FORM 4 X0306 4 2018-08-17 0 0001365916 AMYRIS, INC. AMRS 0001032455 DOERR L JOHN C/O AMYRIS, INC. 5885 HOLLIS STREET, SUITE 100 EMERYVILLE CA 94608 1 0 1 0 Common Stock 2018-08-17 4 M 0 4877386 4.4 A 10623944 I By Foris Ventures, LLC Common Stock 2018-08-17 4 S 0 4877386 6.2188 D 5746558 I By Foris Ventures, LLC Common Stock 2018-08-17 4 M 0 2106217 0.0015 A 7852775 I By Foris Ventures, LLC Common Stock 5532 D Common Stock 9648 I By Clarus, LLC Common Stock 248304 I By Kleiner Perkins Caufield & Byers XII, LLC Common Stock 4531 I By KPCB XII Founders Fund, LLC Common Stock 567 I By The Vallejo Ventures Trust U/T/A 2/12/96 Warrant (Right to Buy) 4.40 2018-08-17 4 M 0 4877386 0 D 2017-07-10 2022-07-10 Common Stock 4877386 0 I By Foris Ventures, LLC Warrant (Right to Buy) 0.0015 2018-08-17 4 M 0 2106217 0 D 2017-07-10 2022-07-10 Common Stock 2106217 0 I By Foris Ventures, LLC Warrant (Right to Buy) 0.0015 2018-08-17 4 D 0 0 D 2017-07-10 2022-07-10 Common Stock 0 I By Foris Ventures, LLC Warrant (Right to Buy) 7.52 2018-08-17 4 A 0 4877386 A 2019-02-17 2019-11-17 Common Stock 4877836 4877386 I By Foris Ventures, LLC Reflects the exercise of a common stock purchase warrant (the "Cash Warrant") issued to Foris Ventures, LLC ("Foris") on May 11, 2017. The exercise price of and number of shares underlying the Cash Warrant reflect (i) a 1-for-15 reverse stock split which became effective on June 5, 2017 and (ii) certain adjustments to the exercise price pursuant to the anti-dilution provisions of the Cash Warrant. In connection with such exercise, the 9.99% beneficial ownership limit applicable to the Cash Warrant was removed. The Reporting Person indirectly holds all of the membership interests in Foris. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Reflects the sale of common stock issuable upon exercise of the Cash Warrant pursuant to that certain Underwriting Agreement, dated August 17, 2018, among the Issuer, Foris, the other selling stockholders party thereto and B. Riley FBR, Inc. as underwriter. Reflects the exercise of a common stock purchase warrant (the "Dilution Warrant") issued to Foris on May 11, 2017 to provide Foris with full-ratchet anti-dilution protection with respect to the conversion price of its Series B Preferred Stock (as defined below). The exercise price of and number of shares underlying the Dilution Warrant reflect (i) a 1-for-15 reverse stock split which became effective on June 5, 2017 and (ii) certain adjustments to the number of shares pursuant to the anti-dilution provisions of the Dilution Warrant. In connection with such exercise, the 9.99% beneficial ownership limit applicable to the Dilution Warrant was removed. Pursuant to the Certificate of Designation for the Issuer's Series B 17.38% Convertible Preferred Stock ("Series B Preferred Stock"), the automatic conversion of the Series B Preferred Stock held by Foris to common stock is being held in abeyance to the extent such conversion would result in Foris beneficially owning in excess of 9.99% of the number of shares of common stock outstanding. The Reporting Person is the manager of Clarus, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares. The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares. The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares. The Reporting Person is a Trustee of The Vallejo Ventures Trust U/T/A 2/12/96. After being exercised in full, the Dilution Warrant was surrendered to the Issuer for cancellation pursuant to the Warrant Exercise Agreement (as defined below). At the time of surrender, the Dilution Warrant was not exercisable for any shares. The warrant was issued pursuant to that certain Warrant Exercise Agreement, dated August 17, 2018, between the Issuer and Foris (the "Warrant Exercise Agreement") in exchange for Foris exercising the Cash Warrant for cash and surrendering the Dilution Warrant for cancellation. /s/ L. John Doerr by Stephen Dobson, Attorney-In-Fact 2018-08-21