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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 38,399 | 10/04/2005 | 06/02/2006 | Common Stock | 38,399 | (1) | 38,399 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 76,799 | 10/04/2005 | 02/21/2011 | Common Stock | 76,799 | (2) | 76,799 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 38,399 | 10/04/2005 | 02/21/2011 | Common Stock | 38,399 | (3) | 38,399 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 691,191 | 10/04/2005 | 10/31/2009 | Common Stock | 691,191 | (4) | 691,191 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 46,079 | 10/04/2005 | 05/03/2006 | Common Stock | 46,079 | (5) | 46,079 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 38,399 | 10/04/2005 | 01/28/2012 | Common Stock | 38,399 | (6) | 38,399 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 95,998 | 10/04/2005 | 01/02/2012 | Common Stock | 95,998 | (7) | 95,998 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 537,678 | (9) | 03/31/2015 | Common Stock | 537,678 | (8) | 537,678 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CROW TODD 1241 HAWK'S FLIGHT COURT SUITE 103 EL DORADO HILLS, CA 95762 |
Chief Financial Officer |
/s/ Todd Crow | 10/06/2005 | |
**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) | Received in exchange for a non-plan stock option to acquire 50,000 shares of The RiceX Company common stock for $0.30 per share in connection with the merger between The RiceX Company and NutraCea (the "Merger"). |
(2) | Received in the Merger in exchange for an employee stock option to acquire 100,000 shares of The RiceX Company common stock for $0.30 per share. |
(3) | Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of The RiceX Company common stock for $0.30 per share. |
(4) | Received in the Merger in exchange for an employee stock option to acquire 900,000 shares of The RiceX Company common stock for $0.30 per share. |
(5) | Received in the Merger in exchange for a non-plan stock option to acquire 60,000 shares of The RiceX Company common stock for $0.30 per share. |
(6) | Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of The RiceX Company common stock for $0.30 per share. |
(7) | Received in the Merger in exchange for an employee stock option to acquire 125,000 shares of The RiceX Company common stock for $0.30 per share. |
(8) | Received in the Merger in exchange for an employee stock option to acquire 700,111 shares of The RiceX Company common stock for $0.30 per share. |
(9) | Immediate vesting of 1/3 of options originally granted on March 31, 2005 with balance vesting monthly over three years. |