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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
6.50% Convertible Senior Notes due 2019 (the "Notes") | $ 3.74 (2) | 05/22/2014 | P(3) | $ 10,000,000 (2) | (2) | (2) | Common Stock | $ 10,000,000 (2) | (2) | $ 10,000,000 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Maxwell (Mauritius) Pte Ltd C/O IMM, LES CASCADES EDITH CAVELL STREET PORT LOUIS, O4 238891 |
X | |||
Cairnhill Investments (Mauritius) Pte Ltd C/O IMM, LES CASCADES EDITH CAVELL STREET PORT LOUIS, O4 |
X | |||
Temasek Holdings (Private) Ltd 60B ORCHARD ROAD, #06-18 TOWER 2 THE ATRIUM@ORCHARD U0 238891 |
X | |||
Fullerton Management Pte Ltd 60B ORCHARD ROAD, #06-18 TOWER 2 THE ATRIUM@ORCHARD U0 238891 |
X |
/s/ Rooksana Shahabally, Director, on behalf of Maxwell (Mauritius) Pte Ltd | 05/27/2014 | |
**Signature of Reporting Person | Date | |
/s/ Eu Jin Chua, Authorized Signatory, on behalf of Temasek Holdings (Private) Limited | 05/27/2014 | |
**Signature of Reporting Person | Date | |
/s/ Sio Han Boon, Director, on behalf of Fullerton Management Pte Ltd | 05/27/2014 | |
**Signature of Reporting Person | Date | |
/s/ Weng Chuen Poy, Director, on behalf of Cairnhill Investments (Mauritius) Pte Ltd | 05/27/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Following the reported transaction, Maxwell (Mauritius) Pte Ltd is deemed to be the direct beneficial owner of 13,023,848 shares of common stock of Amyris, Inc. ("Amyris"). Maxwell (Mauritius) Pte Ltd is wholly-owned by Cairnhill Investments (Mauritius) Pte Ltd., which in turn is wholly-owned by Fullerton Management Pte Ltd, which in turn is wholly-owned by Temasek Holdings (Private) Limited. Therefore, each of Temasek Holdings (Private) Limited, Fullerton Management Pte Ltd and Cairnhill Investments (Mauritius) Pte Ltd. may be deemed to beneficially own the shares of common stock directly owned by Maxwell (Mauritius) Pte Ltd. |
(2) | The Notes are convertible into shares of Amyris common stock at the option of the holder at any time prior to the close of business on the business day immediately preceding the maturity date. The maturity date of the Notes is May 15, 2019. The Notes have an initial conversion rate of 267.0370 shares of Amyris common stock per $1,000 principal amount of Notes, subject to adjustment. This represents an initial effective conversion price of approximately $3.74 per share. The face value of the Notes purchased is $10,000,000 and such Notes are convertible into 2,670,370 shares of Amyris common stock. |
(3) | The Notes were purchased in a sale made pursuant to Rule 144A of the Securities Act of 1933, as amended. The sale is expected to close on May 29, 2014, subject to customary closing conditions. |