Koninklijke DSM N.V. 4

Accession 0001140361-17-030902

CIK 0001365916other

Filed

Aug 8, 8:00 PM ET

Accepted

Aug 9, 5:08 PM ET

Size

20.1 KB

Accession

0001140361-17-030902

Form 4

Period: 2017-08-07

10% Owner

Transactions

Exercise of In-Money
Common Stock
2017-08-08$0.00/sh+748,728$1,123→ 8,684,960 total(indirect: See footnote)
Purchase
Warrants (right to buy)
2017-08-07+3,968,116→ 0 total(indirect: See footnote)
Exercise: $6.30From: 2017-08-07Exp: 2022-08-07→ Common Stock (3,968,116 underlying)
Exercise of In-Money
Warrants (right to buy)
2017-08-08−748,728→ 0 total(indirect: See footnote)
Exercise: $0.00From: 2017-08-08Exp: 2022-07-07→ Common Stock (748,728 underlying)
Other
Series B Preferred Stock
2017-08-08−50,000→ 0 total(indirect: See footnote)
→ Common Stock (7,936,232 underlying)
Other
Warrants (right to buy)
2017-08-08+748,728→ 748,728 total(indirect: See footnote)
Exercise: $0.00From: 2017-08-08Exp: 2022-07-07→ Common Stock (748,728 underlying)
Purchase
Series B Preferred Stock
2017-08-07+25,000→ 50,000 total(indirect: See footnote)
→ Common Stock (3,968,116 underlying)
Other
Common Stock
2017-08-08+7,936,232→ 7,936,232 total(indirect: See footnote)

10% Owner

Transactions

Exercise of In-Money
Common Stock
2017-08-08$0.00/sh+748,728$1,123→ 8,684,960 total(indirect: See footnote)
Purchase
Series B Preferred Stock
2017-08-07+25,000→ 50,000 total(indirect: See footnote)
→ Common Stock (3,968,116 underlying)
Other
Common Stock
2017-08-08+7,936,232→ 7,936,232 total(indirect: See footnote)
Other
Warrants (right to buy)
2017-08-08+748,728→ 748,728 total(indirect: See footnote)
Exercise: $0.00From: 2017-08-08Exp: 2022-07-07→ Common Stock (748,728 underlying)
Purchase
Warrants (right to buy)
2017-08-07+3,968,116→ 0 total(indirect: See footnote)
Exercise: $6.30From: 2017-08-07Exp: 2022-08-07→ Common Stock (3,968,116 underlying)
Other
Series B Preferred Stock
2017-08-08−50,000→ 0 total(indirect: See footnote)
→ Common Stock (7,936,232 underlying)
Exercise of In-Money
Warrants (right to buy)
2017-08-08−748,728→ 0 total(indirect: See footnote)
Exercise: $0.00From: 2017-08-08Exp: 2022-07-07→ Common Stock (748,728 underlying)

Footnotes (4)

[F1]On August 8, 2017, the reporting person converted 50,000 shares of Series B Preferred Stock, resulting in the issuance of 7,936,232 shares of Common Stock.
[F2]Each share of Series B Preferred Stock is convertible at any time at the option of the holder into approximately 158.7 shares of Common Stock, subject to certain adjustments. The Series B Preferred Stock has no expiration date.
[F3]The securities reported herein are held of record by DSM International B.V., which is a wholly owned subsidiary of Koninklijke DSM N.V. Accordingly, Koninklijke DSM N.V. may be deemed to share beneficial ownership of the securities held of record by DSM International B.V. Koninklijke DSM N.V. is a publicly traded company with securities listed on the Amsterdam Stock Exchange.
[F4]In connection with an investment in the Issuer by a third party, the anti-dilution provisions of the Warrants were triggered, resulting in the Warrants becoming exercisable for 748,728 shares of Common Stock at an exercise price of $0.0015 per share upon exercise by the reporting person on August 8, 2017.

Documents

1 file

AMYRIS, INC.

CIK 0001365916

Entity typeother

IncorporatedNetherlands