Doerr L John 的 Form 4 申報
Amyris, Inc.（AMRS），2023/1/4 申報
- 申報編號
- 0000899243-23-000770
- 申報時間
- 2023/1/4 21:50 ET
- 交易日
- 2020/8/14-2022/12/30
- 申報延遲
- 873 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 1 筆非衍生性交易、2 筆衍生性交易。交易後 873 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Doerr L JohnCIK 0001032455 | 董事、持股 10% 以上大股東 |
| Foris Ventures, LLCCIK 0001749713 | 持股 10% 以上大股東 |
| Hager BarbaraCIK 0001750733 | 持股 10% 以上大股東 |
| Vallejo Ventures Trust UTA 21296CIK 0001750751 | 持股 10% 以上大股東 |
| Doerr Ann HowlandCIK 0001750962 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/12/30 | Common Stock | A公司授予取得 | +13,333,334 | $1.50 | +$20,000,001 | 87,268,358 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
On December 29, 2022, the Issuer entered into a security purchase agreement with Foris Ventures, LLC ("FV"), pursuant to which the Issuer issued and sold to FV in a private placement (i) 13,333,334 shares of the Issuer's common stock (the "Common Stock") and (ii) a warrant to purchase up to 10,000,000 shares of Common Stock, for an aggregate purchase price of $20,000,000.
表 II 有 1 筆交易的價格引用這則附註。
- F9
On October 28, 2019, the Issuer, FV, as lender, and the other parties thereto entered into that certain Amended and Restated Loan and Security Agreement (the "LSA"), pursuant to which the Issuer issued certain indebtedness to FV. On June 1, 2020, the parties to the LSA entered into Amendment No. 1 thereto, pursuant to which the Issuer granted FV the right to convert, at its option, all or any portion of the indebtedness outstanding under the LSA (the "2019 Convertible Note"), including accrued and unpaid interest, into shares of Common Stock, subject to stockholder approval, which was granted on August 14, 2020. As of January 4, 2023, 16,680,334 shares of Common Stock are issuable upon conversion of the 2019 Convertible Note in respect of an outstanding principal amount of $50 million and 3,701,734 shares of Common Stock are issuable upon conversion of accrued and unpaid interest of $11.1 million, reflecting a fixed conversion price of $3.00 per share of Common Stock.
表 II 有 1 筆交易的價格引用這則附註。