UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right To Buy) | Â (1) | 01/01/2016 | Common Stock | 5,000 | $ 3.9 | D | Â |
Stock Option (Right To Buy) | Â (1) | 06/13/2017 | Common Stock | 5,000 | $ 6.75 | D | Â |
Stock Option (Right To Buy) | Â (1) | 06/03/2018 | Common Stock | 5,000 | $ 6.75 | D | Â |
Stock Option (Right To Buy) | Â (2) | 03/25/2019 | Common Stock | 5,000 | $ 6.75 | D | Â |
Stock Option (Right To Buy) | Â (3) | 07/19/2021 | Common Stock | 5,000 | $ 17.16 | D | Â |
Series A Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 3,333 | $ 0 | I | By The Robert B. Goldberg Revocable Living Trust |
Series C Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 249 | $ 0 | I | By The Robert B. Goldberg Revocable Living Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goldberg Robert Bruce C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 X |  |  |  |
/s/ Wilfriede van Assche, Attorney-in-Fact for Robert Bruce Goldberg | 02/08/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The option is fully vested and exercisable. |
(2) | The option is subject to an early exercise provision and is immediately exercisable in full. One-fourth of the shares subject to the option vested on January 1, 2010, and one forty-eighth of the shares vest monthly thereafter. |
(3) | The option is subject to an early exercise provision and is immediately exercisable in full. One-fourth of the shares subject to the option vested on January 1, 2012, and one forty-eighth of the shares vest monthly thereafter. |
(4) | Each share of each series of preferred stock is convertible at any time on a 1-for-0.3333 basis into Common Stock, at the holder's election, and has no expiration date. Each share of each series of preferred stock will automatically convert upon the closing of the Issuer's initial public offering. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |