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
  1. 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.
  2. 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.
  3. 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.