SEC FORM 4/A SEC Form 4
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*
Kung Frank

(Last) (First) (Middle)
C/O AMYRIS, INC.
5885 HOLLIS STREET, SUITE 100

(Street)
EMERYVILLE CA 94608

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AMYRIS, INC. [ AMRS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/17/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
08/21/2018
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Warrant (Right to Buy) $7.52 08/17/2018 A 4,488,072 02/17/2019 05/17/2020(1) Common Stock 4,488,072 (2) 4,488,072 I By Vivo Capital Fund VIII, L.P.(3)
Warrant (Right to Buy) $7.52 08/17/2018 A 619,749 02/17/2019 05/17/2020(1) Common Stock 619,749 (2) 619,749 I By Vivo Capital Surplus Fund VIII, L.P.(3)
Warrant (Right to Buy) $7.52 08/20/2018 A 1,855,706 02/20/2019 05/20/2020(4) Common Stock 1,855,706 (2) 1,855,706 I By Vivo Capital Fund VIII, L.P.(3)
Warrant (Right to Buy) $7.52 08/20/2018 A 256,251 02/20/2019 05/20/2020(4) Common Stock 256,251 (2) 256,251 I By Vivo Capital Surplus Fund VIII, L.P.(3)
Explanation of Responses:
1. Due to an unintentional error, the expiration date for the warrants was incorrectly listed as November 17, 2019 in a Form 4 filed on August 21, 2018 (the "Prior Form 4"). The warrants expire on May 17, 2020.
2. The warrants were issued pursuant to those certain Warrant Exercise Agreements, each dated August 17, 2018, between the Issuer and each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. in exchange for such holders exercising certain common stock purchase warrants issued on August 3, 2017 for cash and surrendering separate common stock purchase warrants issued on August 3, 2017 for cancellation, as described in the Prior Form 4.
3. The General Partner of the holder 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.
4. Due to an unintentional error, the expiration date for the warrants was incorrectly listed as November 20, 2019 in the Prior Form 4. The warrants expire on May 20, 2020.
/s/ Frank Kung by Stephen Dobson, Attorney-in-Fact 08/24/2018
** Signature of Reporting Person Date
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* 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).
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