Document:

Exhibit 10.04

 

CONFIDENTIAL
TREATMENT REQUESTED. CERTAIN PORTIONS OF THIS DOCUMENT HAVE BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND,
WHERE APPLICABLE, HAVE BEEN MARKED WITH AN ASTERISK TO DENOTE WHERE OMISSIONS HAVE BEEN MADE. THE CONFIDENTIAL MATERIAL HAS BEEN
FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

 

 

 

 

 

April 23, 2017

 

STRICTLY PRIVATE AND CONFIDENTIAL

 

Delivered by Hand

Mr. Lie Quan Chen

Chairman of the Board

Nenter & Co., Inc.

197 Oriental Road, High Tech Development Zone

Jingzhou City, Hubei Province

People’s Republic of China

 

Re: Termination of Cooperation Agreement

 

Dear Mr. Chen:

 

Reference is made to the Cooperation Agreement, dated as of October
26, 2016 (the “Cooperation Agreement”), by and between Amyris, Inc. and Nenter & Co., Inc. (“Nenter”)
concerning Vitamin A Products. Capitalized terms used but not otherwise defined herein shall have the respective meanings ascribed
thereto in the Cooperation Agreement.

 

The Parties agree to terminate the Cooperation Agreement, effective
immediately. Nenter hereby releases and disclaims any and all (i) license, right, claim and interest in or to Amyris Intellectual
Property useful to the production of [*] Products, and (ii) right to purchase [*] Products. In consideration thereof, Amyris shall
pay a cash payment to Nenter by wire transfer of immediately available funds in an amount equal to two million five hundred thousand
dollars ($2,500,000), such payment to be made within sixty days hereof.

 

Nothing in this letter shall be deemed to modify other agreements
between the Parties, or any right or remedy thereunder, all of which are hereby expressly reserved.

 

	Sincerely,	 	Accepted and agreed to:
	 	 	 
	Amyris, Inc.	 	Nenter & Co., Inc.
	 	 	 
	By: 	/s/ John Melo	 	By: 	/s/ Lie Quan Chen
	Name:	John Melo	 	Name: 	 
	Title:	President and Chief Executive Officer	 	Title:	 
	 	 	 

 

[*] Certain portions denoted with an asterisk have been omitted
and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the
omitted portions.Exhibit 10.08

 

 

 

May 9, 2017

 

STRICTLY CONFIDENTIAL

 

Ms. Kathleen Valiasek

Chief Financial Officer

Amyris, Inc.

5885 Hollis Street, Suite 100

Emeryville, California 94608

 

Dear Ms. Valiasek:

 

This amendment (“Amendment”)
to that certain letter agreement between us dated April 18, 2017 (the “Letter Agreement”) constitutes the further
agreement between Amyris, Inc. (the “Company”) and Rodman & Renshaw, a unit of H.C. Wainwright & Co.,
LLC (“Rodman”), as set forth herein. All terms of the Letter Agreement not expressly modified herein shall continue
in full force and effect. In consideration of Rodman waiving certain fees to which it is entitled under the Letter Agreement in
connection with the exchange of existing indebtedness by certain affiliates of the Company, the Company and Rodman agree as follows:

 

A.                
Compensation. At the closing of the Offering executed among the Company and the respective Purchasers pursuant to a Securities
Purchase Agreement dated May 8, 2017 the Company shall compensate Rodman as follows:

 

		1.	Cash Fee. The Company shall pay to Rodman a cash fee, or as to an underwritten Offering an underwriter discount, equal to:

(i) 7.0% of the aggregate gross proceeds raised in each
Offering from investors in the Series A Preferred Stock Offering, which is agreed to be $1,549,800 based upon $22,140,000 of gross
offering proceeds;

(ii) 3.5% of the face amount of existing debt (plus any
accrued interest) exchanged by the holders thereof, other than the Company’s executive officers and directors, for Securities
in each Offering, which is agreed to be $249,958.47 based upon $7,141,670.64 of exchanged debt; and

(iii) 1.0% of the aggregate gross proceeds raised from Koninklijke
DSM N.V. in the first Offering completed under this Agreement, which is agreed to be $250,000 based upon $25,000,000 of gross offering
proceeds.

 

		2.	Expense Allowance [no change]

 

All of such fees and expenses shall be paid out of the closing escrow
account, without deduction.

 

		3.	Tail Fee. Rodman shall be entitled to compensation under clause (1) hereunder,
                                                             calculated in the manner set forth therein, with respect to any public or private offering or other financing or
                                                             capital-raising transaction of any kind (“Tail Financing”) to the extent that such financing or capital is
                                                             provided to the Company by investors whom Rodman had contacted during the Term, or introduced, directly or indirectly, to the
                                                             Company during Term , if such Tail Financing is consummated at any time within the
12-month period following the expiration or termination of this Agreement. Rodman shall not be entitled to a tail fee pursuant
to this Paragraph A.3. for any funds raised in a Tail Financing directly from DSM, Casdin and the Company’s executive officers
and directors.

 

 

430 Park Avenue | New York, New York 10022 | 212.356.0500

Security services provided by H.C. Wainwright & Co., LLC | Member:
FINRA/SIPC

     

     

    

 

		4.	Warrant Exercise. Additionally, Rodman shall receive a cash fee payable within 48 hours
of the receipt by the Company of any proceeds from the exercise of the warrants sold in the Offering by (i) the investors who purchased
Series A Preferred Stock in the Offering (or any of their transferees), at a rate of 7.0% of the gross proceeds received by the
Company for such exercise, and (ii) the investors who participated in the debt exchange (or any of their transferees), excluding
the Company’s executive officers and directors, at a rate of 3.5% of the gross proceeds received by the Company for such
exercise. The Company shall notify Rodman via e-mail notices@hcwco.com within 24 hours
of receiving notice of exercise from any of the warrant holders and include the details of such notice of exercise.

 

		5.	Right of First Refusal. If within the 12-month period following consummation of the Offering,
the Company or any of its subsidiaries (a) decides to finance or refinance any indebtedness using a manager or agent, Rodman (or
any affiliate designated by Rodman) shall have the right to act as sole book runner, sole manager, sole placement agent or sole
agent with respect to such financing or refinancing; or (b) decides to raise funds by means of a public offering or a private placement
of equity or debt securities (or convertible securities) using an underwriter or placement agent, Rodman (or any affiliate designated
by Rodman) shall have the right to act as sole book runner, sole underwriter or sole placement agent for such financing. If Rodman
or one of its affiliates decides to accept any such engagement, the agreement governing such engagement will contain, among other
things, provisions for the same fees as the Offering and the other provisions of the Letter Agreement, including indemnification,
which are appropriate to such a transaction.

 

B.                
Miscellaneous. The Company represents and warrants that it has all requisite power and authority to enter into and carry
out the terms and provisions of this Amendment and the execution, delivery and performance of this Amendment does not breach or
conflict with any agreement, document or instrument to which it is a party or bound. This Amendment shall not be modified or amended
except in writing signed by Rodman and the Company. This Amendment shall be binding upon and inure to the benefit of both Rodman
and the Company and their respective assigns, successors, and legal representatives. This Amendment may be executed in counterparts
(including facsimile counterparts), each of which shall be deemed an original but all of which together shall constitute one and
the same instrument.

 

In acknowledgment that the foregoing correctly
sets forth the understanding reached by Rodman and the Company, please sign in the space provided below, whereupon this Amendment
shall constitute a binding agreement as of the date indicated above.

 

 

	 	 	Very truly yours,
	 	 	 
	 	 	RODMAN & RENSHAW, A UNIT OF H.C. 

WAINWRIGHT &
CO., LLC
	 	 	 
	 	 	By  	/s/ Edward D. Silvera
	 	 	 	Name:  	Edward D. Silvera
	 	 	 	Title:	COO
	 	 	 
	 	 	 

 

 

 

 

 

 

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	Accepted and Agreed:	 	 
	 	 	 
	Amyris, Inc.	 	 
	 	 	 
	By 	/s/ Kathleen Valiasek	 	 
	 	Name: Kathleen Valiasek	 	 
	 	Title: Chief Financial Officer	 	 
	 	 	 
	 	 	 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3Exhibit 10.09

 

 

AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT 

 

This Amendment No. 1 to Securities Purchase
Agreement (this “Amendment”) is made as of May 30, 2017 by and among Amyris, Inc., a Delaware corporation
(the “Company”), and the “Purchasers” set forth on the signature pages hereto (the “Amending
Purchasers”) that are parties to that certain Securities Purchase Agreement, dated as of May 8, 2017 (the “Purchase
Agreement”), by and among the Company and the purchasers party thereto. Capitalized terms used but not otherwise
defined herein shall have the meanings given to such terms in the Purchase Agreement.

 

WHEREAS, the Company intends to offer,
sell and issue up to 5,700 shares of Series B Convertible Preferred Stock, warrants in the same form as the Cash Warrants to purchase
up to 13,570,960 shares of the Company’s common stock, par value $0.0001 per share, and an additional warrant in the same
form as the Anti-Dilution Warrants, in each case, on the same economic and other terms (including, without limitation, the same
purchase price per share of Series B Convertible Preferred Stock and exercise price of the Cash Warrants) as the Securities sold
pursuant to the Purchase Agreement, to an investor in a private placement to occur on or before June 30, 2017 (the “Offering”).

 

WHEREAS, pursuant to Section 4.12 of
the Purchase Agreement (Subsequent Equity Sales), the Company is prohibited from effecting the Offering.

 

WHEREAS, the Company and the Amending
Purchasers desire to amend the Purchase Agreement to permit the Offering.

 

WHEREAS, pursuant to Section 5.5 of the
Purchase Agreement, the Purchase Agreement may be amended in a written instrument signed by the Company, the Designated Holder
and Purchasers which purchased at least 67% in interest of the Preferred Stock based on the initial Subscription Amounts under
the Purchase Agreement.

 

WHEREAS, the undersigned Amending Purchasers,
including the Designated Holder, purchased at least 67% in interest of the Preferred Stock based on the initial Subscription Amounts
under the Purchase Agreement.

 

NOW, THEREFORE, for good and valuable
consideration, the receipt and sufficiency of which is hereby acknowledged, the Company and the Amending Purchasers hereby agree
as follows:

 

		1.	Amendment of Section 1.1 of the Purchase Agreement. The definition of “Exempt
Issuance” in Section 1.1 of the Purchase Agreement (Definitions) is hereby deleted in its entirety and replaced with
the following:

 

““Exempt Issuance”
means the issuance of (a) shares of Common Stock or options to employees, officers or directors of the Company pursuant to any
stock or option plan or employee stock purchase plan duly adopted for such purpose, by a majority of the non-employee members of
the Board of Directors or a majority of the members of a committee of non-employee directors established for such purpose for services
rendered to the Company, (b) securities upon the exercise or exchange of or

 

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conversion of any Securities issued hereunder and/or other
securities exercisable or exchangeable for or convertible into shares of Common Stock issued and outstanding, or committed for
issuance, or as to which a dilution adjustment may be triggered, or the payment of interest or principal in shares of Common Stock
on securities which so provide, outstanding on the date of this Agreement, provided that such securities have not been amended
since the date of this Agreement to increase the number of such securities or to decrease the exercise price, exchange price or
conversion price of such securities (other than in connection with stock splits or combinations or adjustments pursuant to anti-dilution
provisions existing on the date hereof) or to extend the term of such securities (other than amendments to or extensions of the
1.5% Senior Convertible Note (RS-10) issued by the Company to Total Energies Nouvelles Activités USA (f.k.a. Total Gas &
Power USA, SAS) on March 21, 2016 in the principal amount of $3,700,000 with a current maturity date of May 15, 2017), (c) securities
issued pursuant to acquisitions or strategic transactions approved by a majority of the disinterested directors of the Company,
provided that any such issuance shall only be to a Person (or to the equityholders of a Person) which is, itself or through its
subsidiaries, an operating company or an owner of an asset in a business synergistic with the business of the Company as determined
in good faith by the Board and shall provide to the Company additional benefits in addition to the investment of funds, but shall
not include a transaction in which the Company is issuing securities primarily for the purpose of raising capital or to an entity
whose primary business is investing in securities, (d) any securities issued to the Designated Holder in accordance with its rights
under the Stockholder Agreement and (e) up to 5,700 shares of Series B Convertible Preferred Stock, warrants in the same form as
the Cash Warrants to acquire up to 13,570,960 shares of Common Stock and additional warrants in the same form as the Anti-Dilution
Warrants issuable to the purchaser of such shares of Series B Convertible Preferred Stock and warrants, all of which securities
shall be issued other than pursuant to this Agreement; provided that such securities are issued and sold on economic and other
terms (including, without limitation, the same purchase price per share of Series B Convertible Preferred Stock and exercise price
of the Cash Warrants) no more favorable to the purchaser thereof than the Securities issued hereunder to Purchasers other than
the Designated Holder (the “Subsequent Sale”).”

 

		2.	Amendment of Section 4.3 of the Purchase Agreement. Section 4.3 of the Purchase Agreement
(Integration) is hereby deleted in its entirety and replaced with the following:

 

“The Company shall not sell,
offer for sale or solicit offers to buy or otherwise negotiate in respect of any security (as defined in Section 2 of the Securities
Act) that would be integrated with the offer or sale of the Unregistered Securities in a manner that would require the registration
under the Securities Act of the sale of the Unregistered Securities or that would be integrated with the offer or sale of the Securities
for purposes of the rules and regulations of any Trading Market such that it would require stockholder approval prior to the closing
of such other transaction unless stockholder approval is obtained before the closing of such subsequent transaction; provided,
however, that the foregoing shall not prohibit the

 

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Subsequent Sale or the issuance of
any securities to the Designated Holder in accordance with its rights under the Stockholder Agreement.”

 

		3.	Amendment of Section 4.12(d) of the Purchase Agreement. Section 4.12(d) of the Purchase
Agreement (Subsequent Equity Sales) is hereby deleted in its entirety and replaced with the following:

 

“(d)     Notwithstanding the
foregoing, this Section 4.12 shall not apply in respect of an Exempt Issuance, except that no Variable Rate Transaction (other
than any Variable Rate Transaction existing on the date of this Agreement that would otherwise qualify as an Exempt Issuance) shall
be an Exempt Issuance. For the avoidance of doubt, neither the issuance of securities to the Designated Holder in accordance with
its rights under the Stockholder Agreement nor the Subsequent Sale shall be considered a Variable Rate Transaction for purposes
of this Agreement.”

 

	4.   		Full
                                         Force and Effect. Except as expressly modified by this Amendment, the terms of
                                         the Purchase Agreement shall remain in full force and effect.

 

	5.   		Integration. This Amendment and the Purchase Agreement constitute the entire
                                                                              agreement and understanding of the parties with respect to the subject matter hereof, and supersede all prior understandings
                                                                              and agreements, whether oral or written, between or among the parties hereto with respect to the specific subject matter
                                                                              hereof; it being understood and agreed that the terms of the Stockholder Agreement and IP License shall remain in full force
                                                                              and effect in accordance with their respective terms.

 

	6.  		Counterparts; Facsimile. This Amendment may be executed in one (1) or
more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.
This Amendment may be executed and delivered by facsimile, or by email in portable document format (.pdf), and delivery of any
signature page by such method will be deemed to have the same effect as if the original signature had been delivered to the other
party.

 

[Remainder of Page Intentionally Left Blank]

 

 

 

 

 

 

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IN WITNESS WHEREOF, the undersigned has
duly executed this Amendment as of the date first above written.

 

 

 

COMPANY:

 

AMYRIS, INC.

 

 

	By:	/s/ John G. Melo	 	 
	 	 	 	 
	Name: 	John G. Melo	 	 
	 	 	 	 
	Title:	President and Chief Executive Officer	 	 
	 	 	 

 

 

 

 

 

 

[Signature Page to Amendment No. 1 to Securities Purchase Agreement]

     

     

    

 

IN WITNESS WHEREOF, the undersigned has
duly executed this Amendment as of the date first above written.

 

PURCHASER:

 

DSM International B.V.

 

 

	By:	/s/ Hugh Welsh	 	 
	 	 	 	 
	Name: 	Hugh Welsh	 	 
	 	 	 	 
	Title:	President DSM NA	 	 
	 	 	 

 

 

 

 

 

 

 

 

[Signature Page to Amendment No. 1 to Securities Purchase Agreement]

     

     

    

 

IN WITNESS WHEREOF, the undersigned has duly executed this
Amendment as of the date first above written.

 

PURCHASER:

 

FORIS VENTURES, LLC

 

 

	By:	/s/ Barbara Hager	 	 
	 	 	 	 
	Name: 	Barbara Hager	 	 
	 	 	 	 
	Title:		 	 
	 	 	 

 

 

 

 

 

 

 

 

 

 

[Signature Page to Amendment No. 1 to Securities Purchase Agreement]

     

     

    

 

IN WITNESS WHEREOF, the undersigned has duly executed this
Amendment as of the date first above written.

 

PURCHASER:

 

NAXYRIS S.A.

 

 

	By:		 	/s/ Christoph PIEL
	 		 	Christoph PIEL
	 		 	Director
	 	 	 	 
	Name: 		 	/s/ Jacques RECKINGER
	Title:		 	Jacques RECKINGER
	 	 	Director
	 	 	 

  

 

 

 

 

 

 

 

[Signature Page to Amendment No. 1 to Securities Purchase Agreement]

     

     

    

 

IN WITNESS WHEREOF, the undersigned has duly executed this
Amendment as of the date first above written.

 

PURCHASER:

 

Blackwell Partners, LLC 

 

 

	By:	/s/ Elliot Bossen	 	 
	 	 	 	 
	Name: 	Elliot Bossen	 	 
	 	 	 	 
	Title:	CHIEF EXECUTIVE OFFICER	 	 
	 	SILVERBACK ASSET MANAGEMENT	 	 
	 	 	 

 

 

 

 

 

 

 

 

 

 

[Signature Page to Amendment No. 1 to Securities Purchase Agreement]

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