Filing Details
- Accession Number:
- 0000947871-12-000186
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-28 20:26:36
- Reporting Period:
- 2012-02-27
- Filing Date:
- 2012-02-28
- Accepted Time:
- 2012-02-28 20:26:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
767884 | Ceres Inc. | CERE | Agricultural Production-Crops (100) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1053905 | A S Luxembourg Artal | C/O Ceres, Inc. 1535 Rancho Conejo Boulevard Thousand Oaks CA 91320 | No | No | Yes | No | |
1053906 | A S Group Artal | C/O Ceres, Inc. 1535 Rancho Conejo Boulevard Thousand Oaks CA 91320 | No | No | Yes | No | |
1218180 | Sca International Artal | C/O Ceres, Inc. 1535 Rancho Conejo Boulevard Thousand Oaks CA 91320 | No | No | Yes | No | |
1283968 | Sa Westend | C/O Ceres, Inc. 1535 Rancho Conejo Boulevard Thousand Oaks CA 91320 | No | No | Yes | No | |
1460840 | Westend Administratiekantoor Stichting | C/O Ceres, Inc. 1535 Rancho Conejo Boulevard Thousand Oaks CA 91320 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-02-27 | 98,369 | $0.00 | 98,369 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 333,333 | $0.00 | 431,702 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 1,423,856 | $0.00 | 1,855,558 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 184,048 | $0.00 | 2,039,606 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 47,054 | $0.00 | 2,086,660 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 189,506 | $0.00 | 2,276,166 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 453,846 | $0.00 | 2,730,012 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 480,769 | $0.00 | 3,210,781 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2012-02-27 | 846,154 | $13.00 | 4,056,935 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Disposition | 2012-02-27 | 295,107 | $0.00 | 98,369 | $0.00 |
Common Stock | Series B Convertible Preferred Stock | Disposition | 2012-02-27 | 1,000,000 | $0.00 | 333,333 | $0.00 |
Common Stock | Series C Convertible Preferred Stock | Disposition | 2012-02-27 | 4,271,572 | $0.00 | 1,423,856 | $0.00 |
Common Stock | Series C-1 Convertible Preferred Stock | Disposition | 2012-02-27 | 552,145 | $0.00 | 184,048 | $0.00 |
Common Stock | Series D Convertible Preferred Stock | Disposition | 2012-02-27 | 141,166 | $0.00 | 47,054 | $0.00 |
Common Stock | Series F Convertible Preferred Stock | Disposition | 2012-02-27 | 568,518 | $0.00 | 189,506 | $0.00 |
Common Stock | Series G Convertible Preferred Stock | Disposition | 2012-02-27 | 1,361,538 | $0.00 | 453,846 | $0.00 |
Common Stock | Convertible Subordinated Promissory Note | Disposition | 2012-02-27 | 0 | $0.00 | 480,769 | $10.40 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- Each share of each series of preferred stock was convertible at any time on a 1-for-0.3333 basis into Common Stock, at the holder's election, and each share of each series of preferred stock automatically converted upon the closing of the Issuer's initial public offering. The shares of each series of preferred stock had no expiration date.
- Artal Luxembourg S.A. is a wholly-owned subsidiary of Artal International S.C.A., which is a wholly-owned subsidiary of Artal Group S.A., which is a wholly-owned subsidiary of Westend S.A., which is a wholly-owned subsidiary of Stichting Administratiekantoor Westend. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or her pecuniary interest therein, if any.
- The Convertible Subordinated Promissory Note (the "Convertible Note") was purchased by the reporting person in connection with an August 2011 financing. The Convertible Note automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering at a price per share equal to the public offering price with a 20% discount. Since the public offering price was $13.00, the conversion price per share is $10.40.