Frank Kung Form 4 AMYRIS / Frank Kung ownership change

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)
04/13/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

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
Common Stock	04/13/2021		M(1)		1,707,830	A	$4.26	8,463,618(2)	I	by Vivo Capital Fund VIII, L.P.(3)
Common Stock	04/13/2021		M(1)		235,829	A	$4.26	1,168,689(2)	I	by Vivo Capital Surplus Fund VIII, L.P.(3)
Common Stock	04/13/2021		S(4)		2,733,089(5)	D	$14.9625	5,730,529	I	by Vivo Capital Fund VIII, L.P.(3)
Common Stock	04/13/2021		S(4)		377,384(5)	D	$14.9625	791,305	I	by Vivo Capital Surplus Fund VIII, L.P.(3)
Common Stock	04/13/2021		S(4)		1,281,858	D	$14.9625	3,187,518(2)	I	by Vivo Opportunity Fund, LP(6)
Common Stock	04/13/2021		S(4)		286,032	D	$14.9625	711,258(2)	I	by Vivo Capital Fund IX, LP(7)
Common Stock	04/14/2021		M		1,065,676	A	$4.76	6,796,205	I	by Vivo Capital Fund VIII, L.P.(3)
Common Stock	04/14/2021		M		147,111	A	$4.76	938,416	I	by Vivo Capital Surplus Fund VIII, L.P.
Common Stock								6,532	I	by Vivo Capital LLC(8)
Common Stock								2,266	D

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)(9)	$4.26	04/13/2021		M(1)			7,275.3593	08/03/2017	(10)	Common Stock	1,707,830	$0	0	I	by Vivo Capital Find VIII, L.P.(3)
Warrant (Right to Buy)(9)	$4.26	04/13/2021		M(1)			1,004.6357	08/03/2017	(10)	Common Stock	235,829	$0	0	I	by Vivo Capital Surplus Fund VIII, L.P.(3)
Warrant (Right to Buy)	$4.76	04/14/2021		M			1,065,676	04/29/2019	04/29/2021	Common Stock	1,065,676	$4.76	0	I	by Vivo Capital Fund VIII, L.P.(3)
Warrant (Right to Buy)	$4.76	04/14/2021		M			147,111	04/29/2019	04/29/2021	Common Stock	147,111	$4.76	0	I	by Vivo Capital Surplus Fund VIII, L.P.(3)

Explanation of Responses:

1. Reflects the conversion of shares of the Issuer's Series D Convertible Preferred Stock issued on August 3, 2017. Each share of Series D Convertible Preferred Stock has a stated value of $1,000 and is convertible at any time at the option of the holder into common stock of the Issuer, subject to a 9.99% beneficial ownership limit.

2. Includes shares of common stock received upon automatic conversion of shares of Series E Preferred Stock on August 17, 2020.

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 two (2) 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. Reflects the sale of common stock pursuant to that certain Underwriting Agreement, dated April 8, 2019, among the Issuer, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity Fund, LP, Vivo Capital IX, LP, the other selling stockholders party thereto, and J.P. Morgan Securities LLC and Cowen and Company, LLC as underwriters.

5. Includes shares of common stock received upon conversion of shares of Series D Preferred Stock on April 13, 2021.

6. The General Partner of the holder 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 three (3) 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.

7. The General Partner of the holder 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.

8. The Reporting Person is a voting member of Vivo Capital LLC and may be deemed to share voting and dispositive power over these shares with five (5) 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.

9. Represents Series D Convertible Preferred Stock.

10. The Series D Convertible Preferred Stock has no expiration date.

Remarks:

	/s/ Frank Kung by Bruna Lawant Attorney-in-Fact	04/15/2021
	** 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 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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