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Kung Frank's Form 4/A amendment

Amended

Amyris, Inc. (AMRS) · filed Sep 23, 2022

Accession no.
0001365916-22-000129
Filed
Sep 23, 2022
Trade date
Sep 20-21, 2022
Filing delay
3 days
Rule 10b5-1 plan
Not on the form (before 2023)
Original filed
Sep 22, 2022

This filing lists 4 non-derivative transactions. Open-market sales total $2.14M. It was filed 3 days after the trade.

This amendment replaces 0001365916-22-000127 (filed Sep 22, 2022).

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
Kung FrankCIK 0001227255Director

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Sep 20, 2022Common StockSSaleDisposed−327,028$3.60F2−$1,177,300.8163,512Indirect
Sep 20, 2022Common StockSSaleDisposed−72,972$3.60F2−$262,699.236,488Indirect
Sep 21, 2022Common StockSSaleDisposed−163,512$3.50F5−$572,2920Indirect
Sep 21, 2022Common StockSSaleDisposed−36,488$3.50F5−$127,7080Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

F1

The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by each of Vivo Capital Fund IX, L.P. and Vivo Opportunity Fund Holdings, L.P. on August 15, 2022. These sales complete this trading plan and there are no additional shares to be sold under this trading plan. As a result of such sales, the remaining beneficial ownership of Vivo affiliates is approximately 2.4%. These sales are part of the portfolio exit plan for these specific Vivo funds.

F2

The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $3.50 to $3.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

Referenced by the price of 2 transactions in Table I.

F3

The General Partner of Vivo Opportunity Fund Holdings, L.P. is Vivo Opportunity, 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.

F4

The General Partner of Vivo Capital Fund IX, L.P. is Vivo Capital IX, 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 six (6) 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.

F5

The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $3.40 to $3.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4.

Referenced by the price of 2 transactions in Table I.

F6

The General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. 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.

F7

Pursuant to an agreement dated November 2, 2017 between the Reporting Person and Vivo Capital LLC ("Vivo Capital"), the Reporting Person agreed to remit the equity compensation received under Issuer's non-employee director compensation program to Vivo Capital if and when such equity compensation becomes vested and/or exercised.

Remarks

This Form 4/A is filed to provide additional information in footnote 1.

Read the full filing on SEC EDGAR (opens in a new tab)