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 | ||||
Series A Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 98,369 | $ 0 | D (2) | Â |
Series B Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 333,333 | $ 0 | D (2) | Â |
Series C Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 1,423,856 | $ 0 | D (2) | Â |
Series C-1 Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 184,048 | $ 0 | D (2) | Â |
Series D Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 47,054 | $ 0 | D (2) | Â |
Series F Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 189,506 | $ 0 | D (2) | Â |
Series G Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 453,846 | $ 0 | D (2) | Â |
Series F Common Stock Warrants | Â (3) | Â (3) | Common Stock | 37,901 | $ 19.5 | D (2) | Â |
Series G Common Stock Warrants | Â (4) | Â (4) | Common Stock | 453,846 | $ 19.5 | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ARTAL LUXEMBOURG S A C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
ARTAL INTERNATIONAL SCA C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
ARTAL GROUP S A C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
WESTEND SA C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
Stichting Administratiekantoor Westend C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
/s/ Wilfriede van Assche, Attorney-in-Fact for Artal Luxembourg S.A. | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Artal International S.C.A. | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Artal Group S.A. | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Westend S.A. | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Stichting Administratiekantoor Westend | 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) | 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. |
(2) | Artal Luxembourg SA is a wholly-owned subsidiary of Artal International SCA, which is a wholly-owned subsidiary of Artal Group SA, which is a wholly-owned subsidiary of Westend SA, 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. |
(3) | The Series F Common Stock Warrants are exercisable at any time, at the holder's election. The Series F Common Stock Warrants expire on the earlier of September 4, 2015 and the occurrence of a merger, consolidation or sale of substantially all of the assets of the Issuer. |
(4) | The Series G Common Stock Warrants are exercisable at any time, at the holder's election. The Series G Common Stock Warrants expire on the earlier of June 24, 2020 and the occurrence of a merger, consolidation or sale of substantially all of the assets of the Issuer. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |