|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Olivier de Vezin Edmund Martin C/O CERES, INC. 1535 RANCHO CONEJO BLVD. THOUSAND OAKS, CA 91320 |
X |
/s/ Paul Kuc, Attorney-in-Fact for Edmund Martin Olivier de Vezin | 08/22/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Transfer of 6,666 shares held directly by the reporting person to the Edmund and Ellen Olivier Revocable Family Trust. The transfer results in a change of ownership from direct to indirect. The transfer reported herein does not change the number of shares benefically owned by the reporting person. |
(2) | By the Edmund and Ellen Olivier Revocable Family Trust. |
(3) | By Oxford Bioscience Partners II LP, who directly holds these securities. The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(4) | By Oxford Bioscience Partners (Adjunct) II LP, who directly holds these securities. The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners (Adjunct) II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(5) | By Oxford Bioscience Partners (Bermuda) II Limited Partnership, who directly holds these securities. The reporting person is one of the general partners of OBP Management (Bermuda) II Limited Partnership, which is the general partner of Oxford Bioscience Partners (Bermuda) II Limited Partnership. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(6) | By Oxford Bioscience Partners (GS-Adjunct) II LP, who directly holds these securities. The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners (GS-Adjunct) II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(7) | By Oxford Bioscience Management Partners II, who directly holds these securities. The reporting person is one of the general partners of Oxford Bioscience Management Partners II. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |