Document:

Amended and Restated Plain English Warrant Agreement - TriplePoint Capital LLC

 Exhibit 4.12 

THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 AS AMENDED
(“the 1933 ACT”), OR ANY STATE SECURITIES LAWS. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO YOU
THAT SUCH REGISTRATION IS NOT REQUIRED UNDER THE 1933 ACT, OR ANY APPLICABLE STATE SECURITIES LAWS. 
 AMENDED AND RESTATED
PLAIN ENGLISH WARRANT AGREEMENT 
 This is an AMENDED AND RESTATED PLAIN ENGLISH WARRANT AGREEMENT dated March 14,
2008, as amended through September 18, 2009 by and between AMYRIS BIOTECHNOLOGIES, INC., a California corporation, and TRIPLEPOINT CAPITAL LLC, a Delaware limited liability company. 

The words “We”, “Us”, or “Our” refer to the warrant holder, which is TRIPLEPOINT CAPITAL LLC. The words
“You” or “Your” refers to the issuer, which is AMYRIS BIOTECHNOLOGIES, INC., and not to any individual. The words “The Parties” refers to both TRIPLEPOINT CAPITAL LLC and AMYRIS BIOTECHNOLOGIES. This Amended and
Restated Plain English Warrant Agreement may be referred to as the “Warrant Agreement”. 
 On March 14, 2008, the
Parties entered into a Plain English Warrant Agreement (the “Original Warrant Agreement”). 
 In connection with the
First Amendment to the Plain English Master Lease Agreement dated September 18, 2009, (the “Lease Amendment”) the Parties have agreed to change the Price Per Share of the Warrant Stock We have the right to purchase under this Warrant
Agreement and replace the Original Warrant Agreement with this Warrant Agreement. 
 The Parties have entered into a Plain
English Master Lease Agreement dated as of March 14, 2008, the Lease Amendment and related Hardware or Software Facility Schedules and Summary Schedules which are collectively referred to in this Warrant Agreement as the “Lease
Agreement”. 
 In consideration of such Lease Agreement, the Parties agree to the following mutual agreements and
conditions set forth below are entering into this Warrant Agreement and agree as follows: 
  

											
	WARRANT INFORMATION
	 Effective Date

 

    March 14, 2008, as amended through     September 18,
2009
	  	 Warrant Number

 
 0534-W-01
	  	 Lease Facility
Schedules
  
 0534-LE-01H;
0539-LE-01S

	 	 		 
	 Warrant
Coverage
  
 $250,000 (5% of $5,000,000); up
to an
 additional $250,000 (5% of any amounts

advanced under the Lease Agreement in

excess of $5,000,000 and earned based

upon increments of $1,000,000 advanced)
	  	 Number of Shares

 
 10,048; up to an additional 10,048 (subject to adjustment
per the terms of this Warrant Agreement. The Number of Shares is equal to the quotient of the Warrant Coverage and $24.88, the Series B Preferred Stock price per share).
	  	 Price

Per 

Share
  

$12.46
	  	 Type of
Stock
  
 Series C Preferred
Stock

  

 1 

							
	OUR CONTACT INFORMATION
	
Name
  

TriplePoint Capital LLC
	  	 Address For Notices

 
 2755 Sand Hill Road, Ste. 150
Menlo Park, CA
94025
Tel: (650) 854-2090
Fax: (650) 854-1850
	  	 Contact
Person
  
 Sajal Srivastava, COO
Tel: (650)
233-2102
Fax: (650) 854-1850
email:legal@triplepointcapital.com

	YOUR
CONTACT INFORMATION
	 Customer Name

  
 Amyris Biotechnologies,

Inc.
	  	 Address For Notices

 
 5980 Horton St., Suite 450
Emeryville, CA
94608
	  	 Contact
Person
  
 Name: Jeryl Hilleman, CFO
Tel:
(510) 450-0761 x734
Fax: (510) 450-0794
Email: hilleman@amyris.com

  

	 1.
	 WHAT YOU AGREE TO GRANT US 

Grant. You grant to Us and We are entitled, upon the terms and subject to the conditions set forth in this Warrant Agreement, to
purchase from You, at a price per share equal to the Exercise Price, that number of fully paid and non-assessable shares of Your Warrant Stock equal to Two Hundred Fifty Thousand Dollars ($250,000), divided by $24.88. 

In addition, You grant to Us and We are entitled, upon the terms and subject to the conditions set forth in this Warrant Agreement, to
purchase from You, at a price per share equal to the Exercise Price, an additional number of fully paid and non-assessable shares of Your Warrant Stock equal to five percent (5%) of any amounts advanced under the Loan Agreement in excess of
$5,000,000, divided by the $24.88 (up to an additional $250,000 in the aggregate of warrant coverage), the additional Warrant Coverage will be earned as follows: (i) immediately upon any Advance in which the total amount advanced under Part 1
of the Loan Agreement is over $5,000,000 but less than $6,000,000 We shall have earned additional Warrant Coverage equal to 5% of $1,000,000; (ii) immediately upon any Advance in which the total amount advanced under part 1 of the Loan
Agreement is $6,000,000 or more but less than $7,000,000 We shall have earned additional Warrant Coverage equal to 5% of $1,000,000; (iii) immediately upon any Advance in which the total amount advanced under Part 1 of the Loan Agreement is
$7,000,000 or more but less than $8,000,000 We shall have earned additional Warrant Coverage equal to 5% of $1,000,000; (iv) immediately upon any Advance in which the total amount advanced under Part 1 of the Loan Agreement is $8,000,000 or
more but less than $9,000,000 We shall have earned additional Warrant Coverage equal to 5% of $1,000,000; and (v) immediately upon any Advance in which the total amount advanced under Part 1 of the Loan Agreement is $9,000,000 or more but not
greater than $10,000,000 We shall have earned additional Warrant Coverage equal to 5% of $1,000,000. 
 In no event shall the
total Warrant Coverage exceed $500,000. 
  

 2 

 Number of Shares.  Subject to other adjustments per the terms of this
Warrant Agreement, the Number of Shares is equal to the quotient of the Warrant Coverage divided by $24.88 (the Series B Preferred Stock price per share). 

The number of shares of Warrant Stock and the Exercise Price of such Warrant Stock are subject to adjustment as provided in
Section 4 hereof. 
 For purposes of this Warrant Agreement, the following capitalized terms have the meanings given below:

 “Exercise Price” means $12.46. 

“Warrant Stock” means Your Series C Preferred Stock. 

The Parties agree that this Warrant Agreement to purchase the Warrant Stock has a fair market value equal to $100 and that $100 of the
issue price is included as part of the leased value and will be allocable to the Warrant Agreement and the original issue discount on the Lease Agreement shall be considered to be zero. 

 

	 2.
	 WHEN ARE WE ENTITLED TO PURCHASE YOUR WARRANT STOCK. 

The term of this Warrant Agreement and our right to purchase Warrant Stock will begin the Effective Date, and shall be available until
the earlier of (i) 10 years from the Effective Date or (ii) the effective date of Your initial public offering. 

Notwithstanding the foregoing, Our right to purchase the Warrant Stock shall be automatically and fully exercised via the net issuance
method described below (without surrender of the Warrant Agreement) upon the occurrence of a Merger Event, as defined below, with a Person that is not one of Your affiliates, in which Your common stock is exchanged for cash and/or stock that is
traded on a recognized public exchange or on the NASDAQ National Market, provided that, upon consummation of the Merger Event, the consideration payable to Us pursuant to such exercise and on account of the Warrant Stock consists of (i) cash or
(ii) stock that is traded on a recognized public exchange or on the NASDAQ National Market and the total per share consideration is equal to or greater than five (5) times the aggregate Exercise Price (as adjusted). No less than ten
(10) business days prior to any Merger Event, You shall provide Us with written notice of the proposed Merger Event together with a copy of the executed merger agreement, or other definitive documentation (and all schedules and exhibits
thereto) and information concerning Your expected capitalization immediately prior to the Merger Event. Upon consummation of the Merger Event, You shall promptly provide Us with (a) a copy of any modifications or amendments to the executed
merger agreement, (b) any other documents in connection therewith, (c) updated information, if any, concerning Your capitalization immediately prior to the Merger Event, and, (d) upon request, by Us any other information reasonably
necessary to an informed evaluation of Our rights under this Agreement. 
  

	 3.
	 HOW WE MAY PURCHASE YOUR WARRANT STOCK. 

We may exercise Our purchase rights, in Whole or in part, at any time, or from time to time, prior to the expiration of the term of this
Warrant Agreement, by giving You a completed and 
  

 3 

 
executed Notice of Exercise in the form attached as Exhibit I. Promptly upon receipt of the Notice of Exercise and in any event no later than twenty-one (21) days after you
have received Our Notice of Exercise and payment of the aggregate Exercise Price for the shares purchased, You will issue to Us a certificate for the number of shares of Warrant Stock that We have purchased and You will execute the Acknowledgment
of Exercise in the form attached hereto as Exhibit II indicating the number of shares which will be available to Us for future purchases, if any. 

We may pay for the Warrant Stock by either (i) cash or check, or (ii) by the net issuance method as determined below. If
We elect the Net Issuance method, You will issue Warrant Stock using the following formula: 

X = Y(A-B)  

            A 

    Where X =   the number of shares of Warrant Stock to be issued to Us. 

                Y =   the number
of shares of Warrant Stock We request to be exercised under 

                    
     this Warrant Agreement. 

                A =   the fair
market value of one share of Warrant Stock. 

                B =   the
Exercise Price. 
 For purposes of the above calculation, current fair market value of Warrant Stock shall mean with respect to
each share of Warrant Stock: 
 If the exercise is in connection with the initial public offering of Your Common Stock,
and if Your registration statement relating to such public offering has been declared effective by the SEC, then the fair market value per share shall be the product of (x) the initial “Price to Public” specified in the final
prospectus of the offering and (y) the number of shares of Common Stock into which each share of Warrant Stock is convertible at the time of such exercise; 

If this Warrant Agreement is exercised after, and not in connection with the Your initial public offering, and: 

 

	 Þ
	 if traded on a securities exchange, the fair market value shall be the product of (x) the average of the closing prices over a five
(5) day period ending three (3) days before the day the current fair market value of the securities is being determined and (y) the number of shares of Common Stock into which each share of Warrant Stock is convertible at the time of
such exercise; or 

  

	 Þ
	 if actively traded over-the-counter, the fair market value shall be the product of (x) the average of the closing bid and asked prices quoted
on the NASDAQ system (or similar system) over the five (5) day period ending three (3) days before the day the current fair market value of the securities is being determined and (y) the number of shares of Common Stock into which
each share of Warrant Stock is convertible at the time of such exercise. 

  

 4 

 If this Warrant Agreement is exercised prior to or after Your initial public offering,
and: 
  

	 Þ
	 Your Common Stock is not listed on any securities exchange or quoted in the NASDAQ System or the over-the-counter market, the current fair market
value of Warrant Stock shall be the product of (x) the fair market value of a share of Your Common Stock (the highest price per share which You could obtain from a willing buyer (not a current employee or director) for shares of Common Stock
sold, from authorized but unissued shares), as determined in good faith by Your Board of Directors and (y) the number of shares of Common Stock into which each share of Warrant Stock is convertible at the time of such exercise, unless You shall
become subject to a merger, acquisition or other consolidation pursuant to which You are not the surviving party, in which case the fair market value of Warrant Stock shall be deemed to be the value received by the holders of the Your Warrant Stock
on a common equivalent basis pursuant to such merger or acquisition or other consolidation. 

 During the term
of this Warrant Agreement, You will at all times from and after the Effective Date have authorized and reserved a sufficient number of shares of (a) Warrant Stock to provide for the exercise of our rights to purchase Warrant Stock, and
(b) Common Stock to provide for the conversion of the Warrant Stock. 
 If We elect to exercise part of the Warrant
Agreement, You will promptly issue to Us an amended Warrant Agreement stating the remaining number of shares that are available. All other terms and conditions of that amended Warrant Agreement shall be identical to those contained in this Warrant
Agreement. 
 If at the end of the term of this Warrant Agreement, the fair market value of one share of Warrant Stock (or other
security issuable upon the exercise hereof) as determined in accordance herewith is greater than the Exercise Price in effect on such date, then this Warrant Agreement shall automatically be deemed on and as of such date to be converted pursuant
hereto as to all shares of Warrant Stock (or such other securities) for which it shall not previously have been exercised or converted, and You shall promptly deliver a certificate representing the shares of Warrant Stock (or such other securities)
issued upon such conversion to Us. 
  

	 4.
	 WHEN WILL THE NUMBER OF SHARES AND EXERCISE PRICE CHANGE. 

 

	 Þ
	 If You are Acquired.  If at any time: (i) there is a reorganization of Your stock (other than a reclassification, exchange or
subdivision of Your stock otherwise provided for in this Warrant Agreement); (ii) You merge or consolidate with or into another entity, whether or not You are the surviving entity; (iii) You sell or convey, or grant an exclusive license
with respect to, all or substantially all of Your assets to any other person; or (iv) there occurs any transaction or series of related transactions that result in the transfer of fifty percent (50%) or more of the outstanding voting power
of the capita] stock of You (each of the foregoing events are referred to as a “Merger Event”), then, as a part of such Merger Event, lawful provision shall be made so that We shall thereafter be entitled to receive, upon exercise of Our
rights under this Warrant Agreement, the number of shares of preferred stock or other securities of the successor or surviving person resulting from such Merger Event, equal in value to that which would have been issuable if We had exercised Our
rights under this 

  

 5 

	 	
Warrant Agreement immediately prior to the Merger Event. In any such case, appropriate adjustment (as determined in good faith by the Your Board of Directors) shall be made in the application of
the provisions of this Warrant Agreement with respect to Our rights and interest after the Merger Event so that the provisions of this Warrant Agreement (including adjustments of the Exercise Price and number of shares of Warrant Stock purchasable)
shall be applicable to the greatest extent possible. 

  

	 Þ
	 If You Reclassify Your Stock.  If at any time You combine, reclassify, exchange or subdivide Your securities or otherwise, change
any of the securities as to which purchase rights under this Warrant Agreement exist into the same or a different number of securities of any other class or classes, this Warrant Agreement will thereafter represent the right to acquire such number
and kind of securities as would have been issuable as the result of such change with respect to the securities which were subject to the purchase rights under this Warrant Agreement immediately prior to such combination, reclassification, exchange,
subdivision or other change. 

  

	 Þ
	 If You Subdivide or Combine Your Shares.  If at any time You combine or subdivide Your Warrant Stock, the Exercise Price will be
proportionately decreased in the case of a subdivision, or proportionately increased in the case of a combination. 

  

	 Þ
	 If You Pay Stock Dividends.  If at any time You pay a dividend payable in, or make any other distribution (except any distribution
specifically provided for in the above paragraphs) of Your Warrant Stock, then the Exercise Price shall be adjusted, from and after the record date of such dividend or distribution, to that price determined by multiplying the Exercise Price in
effect immediately prior to such record date by a fraction (i) the numerator of which shall be the total number of all shares of Your Warrant Stock outstanding immediately prior to such dividend or distribution, and (ii) the denominator of
which shall be the total number of all shares of Your Warrant Stock outstanding immediately after such dividend or distribution. We will thereafter be entitled to purchase, at the Exercise Price resulting from such adjustment, the number of shares
of Warrant Stock (calculated to the nearest whole share) obtained by multiplying the Exercise Price in effect immediately prior to such adjustment by the number of shares of Warrant Stock issuable upon the exercise hereof immediately prior to such
adjustment and dividing the product thereof by the Exercise Price resulting from such adjustment. 

  

	 Þ
	 If You Change the Antidilution Rights of the Warrant Stock or Issue New Preferred or Convertible Stock.  All antidilution rights
applicable to the Warrant Stock purchasable under this Warrant Agreement are as set forth in Your Certificate of Incorporation, as amended through the Effective Date. You will promptly provide Us with any restatement, amendment, modification of or
waiver of any right under Your Certificate of Incorporation. You will provide Us with any written notices relating to such antidilution rights provided to other holders of the Warrant Stock. 

 

	 5.
	 WE CAN TRANSFER THIS PLAIN ENGLISH WARRANT AGREEMENT. 

Subject to the terms and conditions contained in Section 7, We (or any successor transferee) may transfer in whole or in part this
Warrant Agreement and all its rights. You will record the transfer 
  

 6 

 
on Your books when You receive Our Notice of Transfer in the form attached hereto as Exhibit III, and Our payment of all transfer taxes and other governmental charges involved in such transfer.

  

	 6.
	 REPRESENTATIONS, WARRANTIES, AND COVENANTS FROM YOU. 

 

	 Þ
	 Reservation of Warrant Stock.  The Warrant Stock issuable upon exercise of Our rights under this Warrant Agreement will be duly and
validly reserved and when issued in accordance with the provisions of this Warrant Agreement will be validly issued, fully paid and non-assessable, and will be free of any taxes, liens, charges or encumbrances of any nature whatsoever; provided,
however, that the Warrant Stock issuable pursuant to this Warrant Agreement may be subject to restrictions on transfer under state and/or Federal securities laws, this Warrant Agreement and any other agreement between Us and You. Upon Our exercise,
You will issue to Us certificates for shares of Warrant Stock without charging Us any tax, or other cost incurred by You in connection with such exercise and the related issuance of shares of Warrant Stock. You will not be required to pay any tax,
which may be payable in respect of any transfer involved and the issuance and delivery of any certificate in a name other than TriplePoint Capital LLC. 

 

	 Þ
	 Due Authority.  Your execution and delivery of this Warrant Agreement and the performance of Your obligations hereunder, including
the issuance to Us of the right to acquire the shares of Warrant Stock, have been duly authorized by all necessary corporate action on Your part and this Warrant Agreement is not inconsistent with the Your Certificate of Incorporation or Bylaws,
subject to the accuracy of Our representations in Section 7 hereof, does not contravene any law or governmental rule, regulation or order applicable to it, do not and will not contravene any provision of, or constitute a default under, any
indenture, mortgage, contract or other instrument to which You are a party or by which You are bound, and this Warrant Agreement constitutes a legal, valid and binding agreement, enforceable in accordance with its respective terms, subject to laws
of general application relating to bankruptcy, insolvency and the relief of debtors and the rules of law or principles at equity governing specific performance, injunctive relief and other equitable remedies. 

 

	 Þ
	 Consents and Approvals.  No consent or approval of, giving of notice to, registration with, or taking of any other action in
respect of any state, Federal or other governmental authority or agency is required with respect to execution, delivery and Your performance of Your obligations under this Warrant Agreement, except for the filing of any required notices pursuant to
Federal and state securities laws, which filings will be effective by the times required thereby. 

  

	 Þ
	 Issued Securities.  All of Your issued and outstanding shares of Common Stock, Warrant Stock or any other securities have been duly
authorized and validly issued and are fully paid and nonassessable. To the extent applicable all outstanding shares of Common Stock and Warrant Stock were issued in full compliance with all Federal and state securities laws. In addition as of the
Effective Date: 

  

 7 

 Your authorized capital consists of (A) 33,000,000 shares of Common Stock, of which
5,029,830 shares of Common Stock are issued and outstanding, and (B) 21,080,641 shares of preferred stock, of which 16,547,462 shares are issued and outstanding. 

You have reserved 5,942,700 shares of Common Stock for issuance under Your Stock Incentive Plan, under which 3,405,762 options have been
granted. Except as otherwise provided in this Warrant Agreement and as noted above, there are no other options, warrants, conversion privileges or other rights presently outstanding to purchase or otherwise acquire any authorized but unissued shares
of the Your capital stock or other of Your securities. 
 Except as set forth in Your Investor’s Rights Agreement, a true,
correct and complete copy of which has been delivered to Us prior to the issuance of this Warrant, and the Lease Agreement, Your stockholders do not have preemptive rights to purchase new issuances of Your capital stock. 

 

	 Þ
	 Other Commitments to Register Securities.  As of the Effective Date, except as set forth in this Warrant Agreement and the
Investors’ Rights’ Agreement, You are not, pursuant to the terms of any other agreement currently in existence, under any obligation to register under the 1933 Act any of Your presently outstanding securities or any of Your securities
which may hereafter be issued. 

  

	 Þ
	 Exempt Transaction.  Subject to the accuracy of Our representations in Section 7 hereof, the issuance of the Warrant Stock
upon exercise of this Warrant Agreement will constitute a transaction exempt front (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of
the applicable state securities laws. 

  

	 Þ
	 Compliance with Rule 144.  We may sell the Warrant Stock issuable hereunder in compliance with Rule 144 promulgated by the
Securities and Exchange Commission. Upon exercise of this warrant, we will be obligated to become a party to the Investors’ Rights Agreement and, pursuant thereto, shall be entitled to the benefit of Your covenants with respect to Your
compliance with the filing requirements of the Securities and Exchange Commission as set forth in such Rule 144, as may be amended. 

  

	 Þ
	 No Impairment.  You agree not to, by amendment of Your Articles of Incorporation or through a reorganization, transfer of assets,
consolidation, merger, dissolution, issue or sale of securities or any other voluntary action, avoid or seek to avoid the observance or performance of any of the terms to be observed or performed under this Warrant by You, but shall at all times in
good faith assist in carrying out all the provisions of this Warrant and in taking all such action as may be necessary or appropriate to protect Our rights under this Warrant against impairment. However, You shall not be deemed to have impaired Our
rights if You amend Your Articles of Incorporation or Your Investor’s Rights Agreement or similar agreements, or the holders of Your equity securities waive their rights thereunder, in a manner that does not (individually or when considered in
the context of any other actions being taken in connection with such amendments or waivers) affect Us in a manner different from the effect that such amendments or waivers have on the rights of other holders of the same series and class as the
Warrant Stock. 

  

 8 

	 7.
	 OUR REPRESENTATIONS AND COVENANTS TO YOU. 

  

	 Þ
	 Investment Purpose.  The right to acquire Warrant Stock or the Warrant Stock issuable upon exercise of Our rights contained herein
and the Common Stock issuable upon conversion will be acquired for investment purposes and not with a view to the sale or distribution of any part thereof, and We have no present intention of selling or engaging in any public distribution of the
same in violation of the 1933 Act. 

  

	 Þ
	 Private Issue.  We understand (i) that this Warrant Agreement, the Warrant Stock issuable upon exercise of this Warrant
Agreement and the Common Stock issuable upon conversion of the Warrant Stock are not registered under the 1933 Act or qualified under applicable state securities laws on the ground that the issuance contemplated by this Warrant Agreement will be
exempt from the registration and qualifications requirements thereof, and (ii) that Your reliance on such exemption is predicated on the representations set forth in this Section 7. 

 

	 Þ
	 Disposition of Our Rights.  In no event will We make a disposition of any of Our rights to acquire Warrant Stock or Warrant Stock
issuable upon exercise of such rights or the Common Stock issuable upon conversion of the Warrant Stock unless and until (i) We shall have notified You in writing of the proposed disposition, and (ii) the transferee agrees to be bound in
writing to the applicable terms and conditions of this Warrant Agreement, and (iii) if You request, We shall have furnished You with an opinion of counsel satisfactory to You and Your counsel to the effect that (A) appropriate action
necessary for compliance with the 1933 Act has been taken, or (B) an exemption from the registration requirements of the 1933 Act is available. Notwithstanding the foregoing, the restrictions imposed upon the transferability of any of Our
rights to acquire Warrant Stock or Warrant Stock issuable on the exercise of such rights or the Common Stock issuable upon conversion of the Warrant Stock do not apply to transfers from the beneficial owner of any of the aforementioned securities to
its nominee or from such nominee to its beneficial owner, and shall terminate as to any particular share of Warrant Stock when (1) such security shall have been effectively registered under the 1933 Act and sold by the holder thereof in
accordance with such registration or (2) such security shall have been sold without registration in compliance with Rule 144 under the 1933 Act, or (3) a letter shall have been issued to You at Our request by the staff of the Securities
and Exchange Commission or a ruling shall have been issued to the You at Our request by such Commission stating that no action shall be recommended by such staff or taken by such Commission, as the case may be, if such security is transferred
without registration under the 1933 Act in accordance with the conditions set forth in such letter or ruling and such letter or ruling specifies that no subsequent restrictions on transfer are required. Whenever the restrictions imposed hereunder
shall terminate, as hereinabove provided, the holder of a share of Warrant Stock then outstanding as to which such restrictions have terminated shall be entitled to receive from You, without expense to such holder, one or more new certificates for
the Warrant or for such shares of Warrant Stock not bearing any restrictive legend referring to 1933 Act registration or exemption. 

  

	 Þ
	 Financial Risk.  We have such knowledge and experience in financial and business matters and knowledge of Your business affairs and
financial condition as to be capable of evaluating the merits and risks of Our investment, and have the ability to bear the economic risks of Our investment. 

 

 9 

	 Þ
	 Risk of No Registration.  We understand that if You do not register with the Securities and Exchange Commission pursuant to
Section 12 of the 1934 Act (the “1934 Act”), or file reports pursuant to Section 15(d), of the 1934 Act, or if a registration statement covering the securities under the 1933 Act is not in effect when We desire to sell
(i) the rights to purchase Warrant Stock pursuant to this Warrant Agreement, or (ii) the Warrant Stock issuable upon exercise of the right to purchase, or (iii) the Common Stock issuable upon conversion of the Warrant Stock, We may be
required to hold such securities for an indefinite period. We also understand that any sale of Our right to purchase Warrant Stock or Warrant Stock or Common Stock issuable upon conversion of the Warrant Stock, which might be made by it in reliance
upon Rule 144 under the 1933 Act may be made only in accordance with the terms and conditions of that Rule. 

  

	 Þ
	 Accredited Investor.  We are an “accredited investor” within the meaning of the Securities and Exchange Rule 501 of
Regulation D of the 1933 Act, as presently in effect. 

  

	 8.
	 NOTICES YOU AGREE TO PROVIDE US. 

You agree to give Us at least twenty (20) days prior written notice of the following events: 

 

	 Þ
	 if You Pay a Dividend or distribution declaration upon your stock. 

 

	 Þ
	 If You offer for subscription pro-rata to the existing shareholders additional stock or other rights. 

 

	 Þ
	 If You consummate a Merger Event. 

  

	 Þ
	 If You have an IPO. 

  

	 Þ
	 If You dissolve or liquidate. 

All notices in this Section must set forth details of the event, and if applicable, how the event adjusts either Our number of shares or
Our Exercise Price and the method used for such adjustment. 
  

	 9.
	 DOCUMENTS YOU WILL PROVIDE US. 

Upon the Effective Date, copies of 
  

	 Þ
	 Certified Resolutions 

  

	 Þ
	 Articles of Incorporation 

  

	 Þ
	 Investor’s Rights Agreement 

  

	 Þ
	 Bylaws 

  

	 Þ
	 Any other documents and other information that We may reasonably request and are necessary to implement the provisions and purposes of this
Agreement. 

  

 10 

	 10.
	 REGISTRATION RIGHTS UNDER THE 1933 ACT. 

The shares of Your common stock into which the Warrant Stock is convertible shall have registration rights as set forth in the
Investors’ Rights Agreement, dated as of February 29, 2008, (as amended, restated or otherwise modified in accordance with its terms from time to time, the Investor Rights Agreement”) to the same extent and on the same terms and
conditions as possessed by the other Holders thereunder. The provisions set forth in Your Investors’ Right s Agreement relating to such registration rights shall not be amended or modified in a manner that treats Us in a manner different from
the effect that such amendments or waivers have on the rights of other holders of the same series and class as the Warrant Stock. By its receipt of this Warrant, the Holder agrees to be bound by the Investor Rights Agreement in so far as it relates
to such registration rights as a Holder pursuant thereto. 
  

	 11.
	 OTHER LEGAL PROVISIONS THE PARTIES WILL ABIDE BY. 

Effective Date.  This Warrant Agreement shall be construed and shall be given effect in all respects as if it had been
executed and delivered by the Parties on the date hereof. This Warrant Agreement shall be binding upon any of the successors or assigns of the Parties. 

Attorney’s Fees.  In any litigation, arbitration or court proceeding between the Parties relating to this Warrant
Agreement, the prevailing party shall be entitled to attorneys’ fees and expenses and all costs of proceedings incurred in enforcing this Warrant Agreement. 

Governing Law.  This Warrant Agreement shall be governed by and construed for all purposes under and in accordance with
the laws of the State of California without giving effect to that body of law pertaining to conflicts of laws. 
 Consent to
Jurisdiction and Venue.  All judicial proceedings arising in or under or related to this Warrant Agreement may be brought in any state or federal court of competent jurisdiction located in the State of California. By execution and
delivery of this agreement, each party hereto generally and unconditionally: (a) consents to personal jurisdiction in San Mateo County, State of California; (b) waives any objection as to jurisdiction or venue in San Mateo County, State of
California; (c) agrees not to assert any defense based on lack of jurisdiction or venue in the aforesaid courts; and (d) irrevocably agrees to be bound by any judgment rendered thereby in connection with this Plain English Warrant
Agreement. Service of process on any party hereto in any action arising out of or relating to this agreement shall be effective if given in accordance with the requirements for notice set forth in this Section, and shall be deemed effective and
received as set forth therein. Nothing herein shall affect the right to serve process in any other manner permitted by law or shall limit the right of either party to bring proceedings in the courts of any other jurisdiction. 

Mutual Waiver of Jury Trial; Judicial Reference.  Because disputes arising in connection with complex financial
transactions are most quickly and economically resolved by an experienced and expert person and The Parties wish applicable state and federal laws to apply (rather than arbitration rules), The Parties desire that their disputes be resolved by a
judge applying such applicable laws. EACH OF THE PARTIES SPECIFICALLY WAIVES ANY RIGHT THEY MAY HAVE TO TRIAL BY JURY OF ANY CAUSE OF ACTION, CLAIM, 

 

 11 

 
CROSS-CLAIM, COUNTERCLAIM, THIRD PARTY CLAIM OR ANY OTHER CLAIM (COLLECTIVELY, “CLAIMS”) ASSERTED BY YOU AGAINST US OR OUR ASSIGNEE OR BY US OR OUR ASSIGNEE AGAINST YOU. IN THE
EVENT THAT THE FOREGOING JURY TRIAL WAIVER IS NOT ENFORCEABLE, ALL CLAIMS, INCLUDING ANY AND ALL QUESTIONS OF LAW OR FACT RELATING THERETO, SHALL, AT THE WRITTEN REQUEST OF ANY PARTY, BE DETERMINED BY JUDICIAL REFERENCE PURSUANT TO THE CALIFORNIA
CODE OF CIVIL PROCEDURE (“REFERENCE”). THE PARTIES SHALL SELECT A SINGLE NEUTRAL REFEREE, WHO SHALL BE A RETIRED STATE OR FEDERAL JUDGE. IN THE EVENT THAT THE PARTIES CANNOT AGREE UPON A REFEREE, THE REFEREE SHALL BE APPOINTED BY THE
COURT. THE REFEREE SHALL REPORT A STATEMENT OF DECISION TO THE COURT. NOTHING IN THIS SECTION SHALL LIMIT THE RIGHT OF ANY PARTY AT ANY TIME TO EXERCISE LAWFUL SELF-HELP REMEDIES, FORECLOSE AGAINST COLLATERAL OR OBTAIN PROVISIONAL REMEDIES. THE
PARTIES SHALL BEAR THE FEES AND EXPENSES OF THE REFEREE EQUALLY UNLESS THE REFEREE ORDERS OTHERWISE. THE REFEREE SHALL ALSO DETERMINE ALL ISSUES RELATING TO THE APPLICABILITY, INTERPRETATION, AND ENFORCEABILITY OF THIS SECTION. THE PARTIES
ACKNOWLEDGE THAT THE CLAIMS WILL NOT BE ADJUDICATED BY A JURY. This waiver extends to all such Claims, including Claims that involve Persons other than You and Us; Claims that arise out of or are in any way connected to the relationship between You
and Us; and any Claims for damages, breach of contract, specific performance, or any equitable or legal relief of any kind, arising out of this Warrant Agreement. 

Counterparts.  This Warrant Agreement may be executed in two or more counterparts, each of which shall be deemed an
original, but all of which together shall constitute one and the same instrument. 
 Notices.  Any notice
required or permitted under this Warrant Agreement shall be given in writing and shall be deemed effectively given upon the earlier of (1) actual receipt or 3 days after mailing if mailed postage prepaid by regular or airmail to Us or You or
(2) one day after it is sent by overnight mail via nationally recognized courier or (3) on the same day as sent via confirmed facsimile transmission, provided that the original is sent by personal delivery or mail by the sending party.

 Remedies.  In the event of any default hereunder, the non-defaulting party may proceed to protect and
enforce its rights either by suit in equity and/or by action at law, including but not limited to an action for damages as a result of any such default, and/or an action for specific performance for any default where such party will not have an
adequate remedy at law and where damages will not be readily ascertainable. Each party expressly acknowledges and agrees that there is no adequate remedy at law for any breach of this Warrant Agreement and that in the event of any breach of this
Agreement, the injured party shall be entitled to specific performance of any or all provisions hereof or an injunction prohibiting the other party from continuing to commit any such breach of this Agreement. 

 

 12 

 Survival.  The representations, warranties, covenants, and conditions of
the Parties contained herein or made pursuant to this Warrant Agreement shall survive the execution and delivery of this Warrant Agreement. 

Severability.  In the event any one or more of the provisions of this Warrant Agreement shall for any reason be held
invalid, illegal or unenforceable, the remaining provisions of this Warrant Agreement shall be unimpaired, and the invalid, illegal or unenforceable provision shall be replaced by a mutually acceptable valid, legal and enforceable provision, which
comes closest to the intention of the parties underlying the invalid, illegal or unenforceable provision. 
 Entire
Agreement.  This Warrant Agreement constitutes the entire agreement between the Parties pertaining to the subject matter contained in it and supersedes all prior and contemporaneous agreements, representations and undertakings of the
Parties, whether oral or written, with respect to such subject matter. This Warrant Agreement amends, restates and supersedes the Original Warrant Agreement. 

Amendments.  Any provision of this Warrant Agreement may only be amended by a written instrument signed by the Parties.

 Lost Warrants or Stock Certificates.  You covenant to Us that, upon receipt of evidence reasonably
satisfactory to Us of the loss, theft, destruction or mutilation of this Warrant Agreement or any stock certificate and, in the case of any such loss, theft or destruction, upon receipt of an indemnity reasonably satisfactory to You, or in the case
of any such mutilation upon surrender and cancellation of such Warrant Agreement or stock certificate, You will make and deliver a new Warrant Agreement or stock certificate, of like tenor, in lieu of the lost, stolen, destroyed or mutilated Warrant
Agreement or stock certificate. 
 Rights as Stockholders.  We shall not, as a party to this Warrant Agreement,
be entitled to vote or receive dividends or be deemed the holder of Warrant Stock or any of Your other securities which may at any time be issuable upon the exercise hereof for any purpose, nor shall anything contained herein be construed to confer
upon Us any of the rights of one of Your stockholders or any right to vote for the election of directors or upon any matter submitted to stockholders at any meeting thereof, or to receive dividends or subscription rights or otherwise until this
Warrant Agreement is exercised and the shares purchasable upon the exercise hereof shall have become deliverable, as provided herein. 

Facsimile Signatures.  This Warrant Agreement may be executed and delivered by facsimile and upon such delivery the
facsimile signature will be deemed to have the same effect as if the original signature had been delivered to the other party. 

(Signature Page to Follow) 
  

 13 

 IN WITNESS WHEREOF, each of the Parties have caused this Warrant Agreement to be
executed by its officers who are duly authorized as of the Effective Date. 
  

			
	 You:
	 	 AMYRIS BIOTECHNOLOGIES, INC.

		
	 Signature:
	 	 /s/ John G. Melo

		
	 Print Name:
	 	 John G. Melo

		
	 Title:
	 	 CEO

		
	 Us:
	 	 TRIPLEPOINT CAPITAL LLC

		
	 Signature:
	 	 /s/ Sajal Srivastava

		
	 Print Name:
	 	 Sajal Srivastava

		
	 Title:
	 	 Chief Operating Officer

[SIGNATURE PAGE TO AMENDED AND RESTATED PLAIN ENGLISH WARRANT 

AGREEMENT 0534-W-01] 
  

 
  

 14 

 EXHIBIT I 

NOTICE OF EXERCISE 
  

	 To:
	
[                            
                ] 

  

	 1.
	 We hereby elect to purchase
[                        ] shares of the Series
[                        ] Preferred Stock of
[                        ], pursuant to the terms of the Plain English Warrant Agreement dated the
[                        ] day of
[                        ], [200__] (the “Plain English Warrant Agreement”) between You and Us. We hereby tender
here payment of the purchase price for such shares in full, together with all applicable transfer taxes, if any. 

  

	 2.
	 Method of Exercise (Please initial the applicable blank) 

 

	 	 a.
	                      The undersigned
elects to exercise the Plain English Warrant Agreement by means of a cash payment, and gives You full payment for the purchase price of the shares being purchased, together with all applicable transfer taxes, if any. 

 

	 	 b.
	                      The undersigned
elects to exercise the Plain English Warrant Agreement by means of the Net Issuance Exercise method of Section 3 of the Plain English Warrant Agreement. 

 

	 3.
	 In exercising Our rights to purchase the Series
[                        ] Preferred Stock of
[                        ], We hereby confirm and acknowledge the investment representations, warranties and covenants
made in Section 7 of the Plain English Warrant Agreement. 

 Please issue a certificate or certificates
representing these purchased shares of Series [                    ] Preferred Stock in Our name or in such other name as is specified below.

  

							
		 	 	 	
		 	 (Name)
	 	
			
		 	 	 	
		 	 (Address)
	 	
			
		 	 US:
	 	 TRIPLEPOINT CAPITAL LLC

				
		 	 By:
	 	 	 	
				
		 	 Title:
	 	 	 	
				
		 	 Date:
	 	 	 	

  

 15 

 EXHIBIT II 

ACKNOWLEDGMENT OF EXERCISE 

[                      
                              ], hereby acknowledges receipt of the “Notice of
Exercise” from TRIPLEPOINT CAPITAL LLC, to purchase [                        ] shares of the Series
[                        ] Preferred Stock of
[                        ], pursuant to the terms of the Plain English Warrant Agreement, and further acknowledges that
[                        ] shares remain subject to purchase under the terms of the Plain English Warrant Agreement.

 YOU: 

			
	 
		
	 By:
	 	 
		
	 Title:
	 	 
		
	 Date:
	 	 
		 	

  

 16 

 EXHIBIT III 

TRANSFER NOTICE 

FOR VALUE RECEIVED, the foregoing Plain English Warrant Agreement and all rights evidenced thereby are hereby transferred and assigned to

  
 ________________________________________________

 (Please Print) 

Whose address is ___________________________________________ 

________________________________________________________________ 

 

					
			
	 Dated:
	  	 	  	
			
	 Holder’s Signature:
	  	 	  	
			
	 Holder’s Address:
	  	 	  	
			
	 Transferee’s Signature:
	  	 	  	
			
	 Transferee’s Address:
	  	 	  	
			
	 Signature Guaranteed:
	  	 	  	

 NOTE:  The signature to this Transfer Notice must correspond with the name as it
appears on the face of the Plain English Warrant Agreement, without alteration or enlargement or any change whatever. Officers of corporations and those acting in a fiduciary or other representative capacity should file proper evidence of authority
to assign the foregoing Plain English Warrant Agreement. 
  

 17Amendment No. 1 to Plain English Warrant Agreement

 Exhibit 4.13 

AMENDMENT NO.1 TO AMENDED AND RESTATED PLAIN ENGLISH WARRANT AGREEMENT 

This Amendment No.1 to Amended and Restated Plain English Warrant Agreement
(this “Amendment”) is made and entered into as of April 8, 2010 (the “Amendment Date”), by and among TriplePoint Capital LLC, a Delaware limited
liability company (“TriplePoint”) and Amyris Biotechnologies, Inc., a California corporation (the “Company”). 

RECITALS 

WHEREAS, the Company and TriplePoint are parties to that certain Amended and Restated Plain English Warrant Agreement, originally dated
March 14, 2008 as amended September 18, 2009 (the “Agreement”). 
 WHEREAS, the Company and
TriplePoint desire to amend the Agreement. 
 NOW, THEREFORE, in consideration of the matters described in the recitals above
and the mutual promises, covenants and undertakings contained herein, and intending to be legally bound hereby, the parties hereto agree as follows: 

AMENDMENT 

1.      AMENDMENT TO AGREEMENT. The first paragraph of Section 2 shall be deleted in its
entirety and replaced with the following: 
 “(a) The term of this Warrant Agreement and our right to purchase Warrant Stock
will begin on the Effective Date, and shall be available until the earlier of (i) 10 years from the Effective Date or (ii) one (1) year from the effective date of an initial public offering of Your securities. 

(b) The settlement of the Warrant pursuant to this Warrant Agreement is to be made in Warrant Stock and, for the elimination of doubt, the
fact that the Warrant Stock delivered on exercise of the this Warrant Agreement is not registered under the Securities Act of 1933 will not in any way require you to settle the Warrant otherwise than in Warrant Stock, including, without limitation,
that there is no circumstance that would require You to net cash settle the Warrant. 
 (c) In case all the authorized Series C
Preferred Stock of the Company is converted, pursuant to the Company’s Articles of Incorporation, as may be amended from time to time, into Common Stock or other securities or property, or the Series C Preferred Stock otherwise ceases to exist,
then, We, upon exercise of the Warrant pursuant to this Warrant Agreement at any time after such time (the “Conversion Date”), shall receive, in lieu of the number of shares of Warrant Stock that would have been
issuable upon such exercise immediately prior to the Conversion Date (the “Former Number of Shares”), the stock and other securities and property which We would have been entitled to receive upon the Conversion Date if
We had exercised the Warrant pursuant to this Warrant 

 
Agreement with respect to the Former Number of Shares immediately prior to the Conversion Date (all subject to further adjustment as provided in this Warrant Agreement).” 

2.      NO OTHER AMENDMENTS. Except as expressly set forth above, all of the terms and conditions of
the Agreement remain in full force and effect. Notwithstanding anything else in this Amendment, if there is any conflict between subsections (b) and (c) in Section 1 above and the Agreement, the terms of the Agreement shall prevail.

 3.      GOVERNING LAW. This Amendment shall be governed by and construed under the
internal laws of the State of California as applied to agreements among California residents entered into and to be performed entirely within California, without reference to principles of conflict of laws or choice of laws. 

4.      COUNTERPARTS; FASCIMILE. This Amendment may be executed in two (2) 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 the signature page by such method will be deemed to have the same effect as if the original signature had been delivered to the other parties. 

[Remainder of page left blank] 
  

 2 

 IN WITNESS WHEREOF, each of the Company and TriplePoint has caused this Amendment
No. 1 to Amended and Restated Plain English Warrant Agreement to be executed by its duly authorized representative, each as of the Amendment Date. 
  

													
	AMYRIS BIOTECHNOLOGIES, INC.	 		 		 	TRIPLEPOINT CAPITAL, LLC
				
	
 

	 		 		 	
 

							
	  By:	 	 Tamara L. Tompkins
	 		 		 		 	  By:	 	  

							
	  Its:	 	 General Counsel
	 		 		 		 	  Its:	 	  

  

 3

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00172-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00172-of-00352.parquet"}]]