ARTAL LUXEMBOURG S A 4

Accession 0000947871-12-000186

CIK 0000767884other

View on SEC.gov Company Profile

Filed

Feb 27, 7:00 PM ET

Accepted

Feb 28, 8:26 PM ET

Size

42.2 KB

Accession

0000947871-12-000186

Insider Transaction Report

Form 4

Period: 2012-02-27

Ceres, Inc.CERE

ARTAL LUXEMBOURG S A

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+189,506→ 2,276,166 total
Conversion
Common Stock
2012-02-27+98,369→ 98,369 total
Conversion
Common Stock
2012-02-27+184,048→ 2,039,606 total
Conversion
Common Stock
2012-02-27+333,333→ 431,702 total
Conversion
Common Stock
2012-02-27+1,423,856→ 1,855,558 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−295,107→ 0 total
→ Common Stock (98,369 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−1,000,000→ 0 total
→ Common Stock (333,333 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−568,518→ 0 total
→ Common Stock (189,506 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,361,538→ 0 total
→ Common Stock (453,846 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (480,769 underlying)
Purchase
Common Stock
2012-02-27$13.00/sh+846,154$11,000,002→ 4,056,935 total
Conversion
Common Stock
2012-02-27+47,054→ 2,086,660 total
Conversion
Common Stock
2012-02-27+453,846→ 2,730,012 total
Conversion
Common Stock
2012-02-27+480,769→ 3,210,781 total
Conversion
Series C Convertible Preferred Stock
2012-02-27−4,271,572→ 0 total
→ Common Stock (1,423,856 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−552,145→ 0 total
→ Common Stock (184,048 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−141,166→ 0 total
→ Common Stock (47,054 underlying)

ARTAL INTERNATIONAL SCA

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+98,369→ 98,369 total
Conversion
Common Stock
2012-02-27+184,048→ 2,039,606 total
Conversion
Common Stock
2012-02-27+47,054→ 2,086,660 total
Conversion
Common Stock
2012-02-27+189,506→ 2,276,166 total
Conversion
Common Stock
2012-02-27+453,846→ 2,730,012 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−295,107→ 0 total
→ Common Stock (98,369 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−1,000,000→ 0 total
→ Common Stock (333,333 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−552,145→ 0 total
→ Common Stock (184,048 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−141,166→ 0 total
→ Common Stock (47,054 underlying)
Conversion
Common Stock
2012-02-27+480,769→ 3,210,781 total
Conversion
Common Stock
2012-02-27+333,333→ 431,702 total
Conversion
Common Stock
2012-02-27+1,423,856→ 1,855,558 total
Purchase
Common Stock
2012-02-27$13.00/sh+846,154$11,000,002→ 4,056,935 total
Conversion
Series C Convertible Preferred Stock
2012-02-27−4,271,572→ 0 total
→ Common Stock (1,423,856 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−568,518→ 0 total
→ Common Stock (189,506 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,361,538→ 0 total
→ Common Stock (453,846 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (480,769 underlying)

ARTAL GROUP S A

10% Owner

Transactions

Conversion
Series A Convertible Preferred Stock
2012-02-27−295,107→ 0 total
→ Common Stock (98,369 underlying)
Conversion
Common Stock
2012-02-27+480,769→ 3,210,781 total
Conversion
Series B Convertible Preferred Stock
2012-02-27−1,000,000→ 0 total
→ Common Stock (333,333 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−552,145→ 0 total
→ Common Stock (184,048 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−568,518→ 0 total
→ Common Stock (189,506 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (480,769 underlying)
Conversion
Common Stock
2012-02-27+98,369→ 98,369 total
Conversion
Common Stock
2012-02-27+333,333→ 431,702 total
Conversion
Common Stock
2012-02-27+1,423,856→ 1,855,558 total
Conversion
Common Stock
2012-02-27+184,048→ 2,039,606 total
Conversion
Common Stock
2012-02-27+47,054→ 2,086,660 total
Conversion
Common Stock
2012-02-27+189,506→ 2,276,166 total
Conversion
Common Stock
2012-02-27+453,846→ 2,730,012 total
Purchase
Common Stock
2012-02-27$13.00/sh+846,154$11,000,002→ 4,056,935 total
Conversion
Series C Convertible Preferred Stock
2012-02-27−4,271,572→ 0 total
→ Common Stock (1,423,856 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−141,166→ 0 total
→ Common Stock (47,054 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,361,538→ 0 total
→ Common Stock (453,846 underlying)

WESTEND SA

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+184,048→ 2,039,606 total
Conversion
Common Stock
2012-02-27+47,054→ 2,086,660 total
Conversion
Common Stock
2012-02-27+189,506→ 2,276,166 total
Conversion
Common Stock
2012-02-27+453,846→ 2,730,012 total
Conversion
Common Stock
2012-02-27+480,769→ 3,210,781 total
Purchase
Common Stock
2012-02-27$13.00/sh+846,154$11,000,002→ 4,056,935 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−295,107→ 0 total
→ Common Stock (98,369 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−1,000,000→ 0 total
→ Common Stock (333,333 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−4,271,572→ 0 total
→ Common Stock (1,423,856 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−552,145→ 0 total
→ Common Stock (184,048 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−141,166→ 0 total
→ Common Stock (47,054 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−568,518→ 0 total
→ Common Stock (189,506 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,361,538→ 0 total
→ Common Stock (453,846 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (480,769 underlying)
Conversion
Common Stock
2012-02-27+98,369→ 98,369 total
Conversion
Common Stock
2012-02-27+333,333→ 431,702 total
Conversion
Common Stock
2012-02-27+1,423,856→ 1,855,558 total

Stichting Administratiekantoor Westend

10% Owner

Transactions

Conversion
Common Stock
2012-02-27+98,369→ 98,369 total
Conversion
Common Stock
2012-02-27+333,333→ 431,702 total
Conversion
Common Stock
2012-02-27+1,423,856→ 1,855,558 total
Conversion
Common Stock
2012-02-27+184,048→ 2,039,606 total
Conversion
Common Stock
2012-02-27+47,054→ 2,086,660 total
Conversion
Common Stock
2012-02-27+189,506→ 2,276,166 total
Conversion
Common Stock
2012-02-27+453,846→ 2,730,012 total
Conversion
Common Stock
2012-02-27+480,769→ 3,210,781 total
Purchase
Common Stock
2012-02-27$13.00/sh+846,154$11,000,002→ 4,056,935 total
Conversion
Series A Convertible Preferred Stock
2012-02-27−295,107→ 0 total
→ Common Stock (98,369 underlying)
Conversion
Series B Convertible Preferred Stock
2012-02-27−1,000,000→ 0 total
→ Common Stock (333,333 underlying)
Conversion
Series C Convertible Preferred Stock
2012-02-27−4,271,572→ 0 total
→ Common Stock (1,423,856 underlying)
Conversion
Series C-1 Convertible Preferred Stock
2012-02-27−552,145→ 0 total
→ Common Stock (184,048 underlying)
Conversion
Series D Convertible Preferred Stock
2012-02-27−141,166→ 0 total
→ Common Stock (47,054 underlying)
Conversion
Series F Convertible Preferred Stock
2012-02-27−568,518→ 0 total
→ Common Stock (189,506 underlying)
Conversion
Series G Convertible Preferred Stock
2012-02-27−1,361,538→ 0 total
→ Common Stock (453,846 underlying)
Conversion
Convertible Subordinated Promissory Note
2012-02-27→ 0 total
Exercise: $10.40→ Common Stock (480,769 underlying)

Footnotes (3)

[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 had no expiration date.
[F2]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.
[F3]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.

Documents

1 file

4
ss138712_4-artal.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Ceres, Inc.

CIK 0000767884

→

Entity typeother

Related Parties

filerCIK 0001053905

Filing Metadata

Form type: 4
Filed: Feb 27, 7:00 PM ET
Accepted: Feb 28, 8:26 PM ET
Size: 42.2 KB

View on SEC.gov