Smith Dana C 4

Accession 0000947871-12-000185

CIK 0000767884other

View on SEC.gov Company Profile

Filed

Feb 27, 7:00 PM ET

Accepted

Feb 28, 8:22 PM ET

Size

46.5 KB

Accession

0000947871-12-000185

Insider Transaction Report

Form 4

Period: 2012-02-27

Ceres, Inc.CERE

Rothschild Trust Guernsey Ltd (Ambergate)

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+213,332→ 898,776 total
Conversion
Common Stock
2012-02-27+474,333→ 685,444 total
Conversion
Common Stock
2012-02-27+359,000→ 359,000 total
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (322,115 underlying)
Conversion
Common Stock
2012-02-27+91,205→ 989,981 total
Conversion
Common Stock
2012-02-27+139,425→ 1,129,406 total
Conversion
Common Stock
2012-02-27+11,000→ 1,140,406 total
Conversion
Common Stock
2012-02-27+102,666→ 1,243,072 total
Conversion
Common Stock
2012-02-27+433,333→ 1,676,405 total
Conversion
Common Stock
2012-02-27+322,115→ 1,998,520 total
Purchase
Common Stock
2012-02-27$13.00/sh+153,846$1,999,998→ 2,152,366 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,077,000→ 0 total
→ Common Stock (359,000 underlying)
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,423,000→ 0 total
→ Common Stock (474,333 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−640,000→ 0 total
→ Common Stock (213,332 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−273,615→ 0 total
→ Common Stock (91,205 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−418,276→ 0 total
→ Common Stock (139,425 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−33,000→ 0 total
→ Common Stock (11,000 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−308,000→ 0 total
→ Common Stock (102,666 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,300,000→ 0 total
→ Common Stock (433,333 underlying)

Ambergate Trust

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+474,333→ 685,444 total
Conversion
Common Stock
2012-02-27+213,332→ 898,776 total
Conversion
Common Stock
2012-02-27+139,425→ 1,129,406 total
Conversion
Series C Convertible Preferred Stock
2012-02-27−273,615→ 0 total
→ Common Stock (91,205 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−33,000→ 0 total
→ Common Stock (11,000 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,300,000→ 0 total
→ Common Stock (433,333 underlying)
Conversion
Common Stock
2012-02-27+359,000→ 359,000 total
Conversion
Common Stock
2012-02-27+91,205→ 989,981 total
Conversion
Common Stock
2012-02-27+11,000→ 1,140,406 total
Conversion
Common Stock
2012-02-27+102,666→ 1,243,072 total
Conversion
Common Stock
2012-02-27+433,333→ 1,676,405 total
Conversion
Common Stock
2012-02-27+322,115→ 1,998,520 total
Purchase
Common Stock
2012-02-27$13.00/sh+153,846$1,999,998→ 2,152,366 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,077,000→ 0 total
→ Common Stock (359,000 underlying)
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,423,000→ 0 total
→ Common Stock (474,333 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−640,000→ 0 total
→ Common Stock (213,332 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−418,276→ 0 total
→ Common Stock (139,425 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−308,000→ 0 total
→ Common Stock (102,666 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (322,115 underlying)

Lynda De Logi Trust

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+474,333→ 685,444 total
Conversion
Common Stock
2012-02-27+91,205→ 989,981 total
Conversion
Common Stock
2012-02-27+359,000→ 359,000 total
Conversion
Common Stock
2012-02-27+213,332→ 898,776 total
Conversion
Common Stock
2012-02-27+139,425→ 1,129,406 total
Conversion
Common Stock
2012-02-27+11,000→ 1,140,406 total
Conversion
Common Stock
2012-02-27+102,666→ 1,243,072 total
Conversion
Common Stock
2012-02-27+433,333→ 1,676,405 total
Conversion
Common Stock
2012-02-27+322,115→ 1,998,520 total
Purchase
Common Stock
2012-02-27$13.00/sh+153,846$1,999,998→ 2,152,366 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,077,000→ 0 total
→ Common Stock (359,000 underlying)
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,423,000→ 0 total
→ Common Stock (474,333 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−640,000→ 0 total
→ Common Stock (213,332 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−273,615→ 0 total
→ Common Stock (91,205 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−418,276→ 0 total
→ Common Stock (139,425 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−33,000→ 0 total
→ Common Stock (11,000 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−308,000→ 0 total
→ Common Stock (102,666 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,300,000→ 0 total
→ Common Stock (433,333 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (322,115 underlying)

Carlson Robert W Jr.

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+359,000→ 359,000 total
Conversion
Common Stock
2012-02-27+474,333→ 685,444 total
Conversion
Common Stock
2012-02-27+91,205→ 989,981 total
Conversion
Common Stock
2012-02-27+139,425→ 1,129,406 total
Conversion
Common Stock
2012-02-27+11,000→ 1,140,406 total
Conversion
Common Stock
2012-02-27+102,666→ 1,243,072 total
Conversion
Common Stock
2012-02-27+433,333→ 1,676,405 total
Conversion
Common Stock
2012-02-27+322,115→ 1,998,520 total
Purchase
Common Stock
2012-02-27$13.00/sh+153,846$1,999,998→ 2,152,366 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,077,000→ 0 total
→ Common Stock (359,000 underlying)
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,423,000→ 0 total
→ Common Stock (474,333 underlying)
Conversion
Common Stock
2012-02-27+213,332→ 898,776 total
Conversion
Series B Convertible Preferred Stock
2012-02-27−640,000→ 0 total
→ Common Stock (213,332 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−273,615→ 0 total
→ Common Stock (91,205 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−418,276→ 0 total
→ Common Stock (139,425 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−33,000→ 0 total
→ Common Stock (11,000 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−308,000→ 0 total
→ Common Stock (102,666 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,300,000→ 0 total
→ Common Stock (433,333 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (322,115 underlying)

Smith Dana C

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+91,205→ 989,981 total
Conversion
Common Stock
2012-02-27+102,666→ 1,243,072 total
Conversion
Common Stock
2012-02-27+359,000→ 359,000 total
Conversion
Common Stock
2012-02-27+474,333→ 685,444 total
Conversion
Common Stock
2012-02-27+213,332→ 898,776 total
Conversion
Common Stock
2012-02-27+139,425→ 1,129,406 total
Conversion
Common Stock
2012-02-27+11,000→ 1,140,406 total
Conversion
Common Stock
2012-02-27+433,333→ 1,676,405 total
Conversion
Common Stock
2012-02-27+322,115→ 1,998,520 total
Purchase
Common Stock
2012-02-27$13.00/sh+153,846$1,999,998→ 2,152,366 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,077,000→ 0 total
→ Common Stock (359,000 underlying)
Conversion
Series A Convertible Preferred Stock
2012-02-27−1,423,000→ 0 total
→ Common Stock (474,333 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−640,000→ 0 total
→ Common Stock (213,332 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−273,615→ 0 total
→ Common Stock (91,205 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−418,276→ 0 total
→ Common Stock (139,425 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−33,000→ 0 total
→ Common Stock (11,000 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−308,000→ 0 total
→ Common Stock (102,666 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,300,000→ 0 total
→ Common Stock (433,333 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (322,115 underlying)

Footnotes (4)

[F1]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 have no expiration date.
[F2]Rothschild Trust Guernsey Limited ("Rothschild") is the trustee for the Ambergate Trust and has full investment and voting authority over the shares held in the Ambergate Trust. Pursuant to a voting agreement, Rothschild also has the authority to vote the shares held in the Lynda De Logi Trust. Robert W. Carlson, Jr. and Dana C. Smith are the trustees for the Lynda De Logi Trust, and Mr. Carlson and Ms. Smith have full investment authority over the shares held in the Lynda De Logi Trust. Unless otherwise stated, the securities reported herein are held directly by the Ambergate Trust. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or her pecuniary interest therein, if any.
[F3]The Lynda De Logi Trust directly holds these securities.
[F4]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 price per share is $10.40.

Documents

1 file

4
ss138714_4-ambergate.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Ceres, Inc.

CIK 0000767884

→

Entity typeother

Related Parties

filerCIK 0001541383

Filing Metadata

Form type: 4
Filed: Feb 27, 7:00 PM ET
Accepted: Feb 28, 8:22 PM ET
Size: 46.5 KB

View on SEC.gov