| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AMRS | Common Stock | Sale | $1,177,301 | -327,028 | -67% | $3.60 | 163,512 | 20 Sep 2022 | by Vivo Opportunity Fund Holdings, LP | F1, F2, F3 |
| transaction | AMRS | Common Stock | Sale | $262,699 | -72,972 | -67% | $3.60 | 36,488 | 20 Sep 2022 | by Vivo Capital Fund IX, LP | F1, F2, F4 |
| transaction | AMRS | Common Stock | Sale | $572,292 | -163,512 | -100% | $3.50 | 0 | 21 Sep 2022 | by Vivo Opportunity Fund Holdings, LP | F1, F3, F5 |
| transaction | AMRS | Common Stock | Sale | $127,708 | -36,488 | -100% | $3.50 | 0 | 21 Sep 2022 | by Vivo Capital Fund IX, LP | F1, F4, F5 |
| holding | AMRS | Common Stock | 6,796,205 | 20 Sep 2022 | by Vivo Capital Fund VIII, L.P. | F6 | |||||
| holding | AMRS | Common Stock | 938,416 | 20 Sep 2022 | by Vivo Capital Surplus Fund VIII, L.P. | F6 | |||||
| holding | AMRS | Common Stock | 16,207 | 20 Sep 2022 | by Vivo Capital LLC | F7 | |||||
| holding | AMRS | Common Stock | 80,000 | 20 Sep 2022 | Direct |
| Id | Content |
|---|---|
| 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. |
| 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. |
| 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. |
This Form 4/A is filed to provide additional information in footnote 1.