0000947871-12-000185.txt : 20120228 0000947871-12-000185.hdr.sgml : 20120228 20120228202201 ACCESSION NUMBER: 0000947871-12-000185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120227 FILED AS OF DATE: 20120228 DATE AS OF CHANGE: 20120228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Dana C CENTRAL INDEX KEY: 0001541383 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35421 FILM NUMBER: 12649695 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BOULEVARD CITY: THOUSAND OAKS STATE: CA ZIP: 91320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlson Robert W Jr. CENTRAL INDEX KEY: 0001541385 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35421 FILM NUMBER: 12649691 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BOULEVARD CITY: THOUSAND OAKS STATE: CA ZIP: 91320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ceres, Inc. CENTRAL INDEX KEY: 0000767884 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 BUSINESS ADDRESS: STREET 1: 1535 RANCHO CONEJO BLVD. CITY: THOUSAND OAKS STATE: CA ZIP: 91320 BUSINESS PHONE: 805-376-6500 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BLVD. CITY: THOUSAND OAKS STATE: CA ZIP: 91320 FORMER COMPANY: FORMER CONFORMED NAME: CERES INC DATE OF NAME CHANGE: 19850504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ambergate Trust CENTRAL INDEX KEY: 0001541305 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35421 FILM NUMBER: 12649694 BUSINESS ADDRESS: STREET 1: ST. PETER'S HOUSE, LE BORDAGE CITY: ST. PETER PORT STATE: Y7 ZIP: GY1 6AX BUSINESS PHONE: 8053766500 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BOULEVARD CITY: THOUSAND OAKS STATE: CA ZIP: 91320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rothschild Trust Guernsey Ltd (Ambergate) CENTRAL INDEX KEY: 0001541307 STATE OF INCORPORATION: Y7 FISCAL YEAR END: 0312 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35421 FILM NUMBER: 12649692 BUSINESS ADDRESS: STREET 1: ST. PETER'S HOUSE, LE BORDAGE CITY: ST. PETER PORT STATE: Y7 ZIP: GY1 6AX BUSINESS PHONE: 8053766500 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BOULEVARD CITY: THOUSAND OAKS STATE: CA ZIP: 91320 FORMER NAME: FORMER CONFORMED NAME: Rothschild Trust Guernsey Ltd as Trustee F/B/O The Ambergate Trust DATE OF NAME CHANGE: 20120202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lynda De Logi Trust CENTRAL INDEX KEY: 0001541384 STATE OF INCORPORATION: NY FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35421 FILM NUMBER: 12649693 BUSINESS ADDRESS: STREET 1: 4601 GULF SHORE BOULEVARD, NORTH STREET 2: ENCLAVE #25 CITY: NAPLES STATE: FL ZIP: 34103 BUSINESS PHONE: 8053766500 MAIL ADDRESS: STREET 1: 1535 RANCHO CONEJO BOULEVARD CITY: THOUSAND OAKS STATE: CA ZIP: 91320 4 1 ss138714_4-ambergate.xml OWNERSHIP DOCUMENT X0304 4 2012-02-27 0 0000767884 Ceres, Inc. CERE 0001541305 Ambergate Trust C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS CA 91320 0 0 1 0 0001541384 Lynda De Logi Trust C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS CA 91320 0 0 1 0 0001541307 Rothschild Trust Guernsey Ltd (Ambergate) C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS CA 91320 0 0 1 0 0001541385 Carlson Robert W Jr. C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS CA 91320 0 0 1 0 0001541383 Smith Dana C C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS CA 91320 0 0 1 0 Common Stock 2012-02-27 4 C 0 359000 A 359000 D Common Stock 2012-02-27 4 C 0 474333 A 685444 D Common Stock 2012-02-27 4 C 0 213332 A 898776 D Common Stock 2012-02-27 4 C 0 91205 A 989981 D Common Stock 2012-02-27 4 C 0 139425 A 1129406 D Common Stock 2012-02-27 4 C 0 11000 A 1140406 D Common Stock 2012-02-27 4 C 0 102666 A 1243072 D Common Stock 2012-02-27 4 C 0 433333 A 1676405 D Common Stock 2012-02-27 4 C 0 322115 A 1998520 D Common Stock 2012-02-27 4 P 0 153846 13.00 A 2152366 D Series A Convertible Preferred Stock 2012-02-27 4 C 0 1077000 0 D Common Stock 359000 0 D Series A Convertible Preferred Stock 2012-02-27 4 C 0 1423000 0 D Common Stock 474333 0 D Series B Convertible Preferred Stock 2012-02-27 4 C 0 640000 0 D Common Stock 213332 0 D Series C Convertible Preferred Stock 2012-02-27 4 C 0 273615 0 D Common Stock 91205 0 D Series C-1 Convertible Preferred Stock 2012-02-27 4 C 0 418276 0 D Common Stock 139425 0 D Series D Convertible Preferred Stock 2012-02-27 4 C 0 33000 0 D Common Stock 11000 0 D Series F Convertible Preferred Stock 2012-02-27 4 C 0 308000 0 D Common Stock 102666 0 D Series G Convertible Preferred Stock 2012-02-27 4 C 0 1300000 0 D Common Stock 433333 0 D Convertible Subordinated Promissory Note 10.40 2012-02-27 4 C 0 3350000 D Common Stock 322115 0 D 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 have no expiration date. Rothschild Trust Guernsey Limited ("Rothschild") is the trustee for the Ambergate Trust and has full investment and voting authority over the shares held in the Ambergate Trust. Pursuant to a voting agreement, Rothschild also has the authority to vote the shares held in the Lynda De Logi Trust. Robert W. Carlson, Jr. and Dana C. Smith are the trustees for the Lynda De Logi Trust, and Mr. Carlson and Ms. Smith have full investment authority over the shares held in the Lynda De Logi Trust. Unless otherwise stated, the securities reported herein are held directly by the Ambergate Trust. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or her pecuniary interest therein, if any. The Lynda De Logi Trust directly holds these securities. 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 price per share is $10.40. /s/ Paul Kuc, Attorney-in-Fact for The Ambergate Trust 2012-02-28 /s/ Paul Kuc, Attorney-in-Fact for The Lynda De Logi Trust 2012-02-28 /s/ Paul Kuc, Attorney-in-Fact for Rothschild Trust Guernsey Limited (Ambergate) 2012-02-28 /s/ Paul Kuc, Attorney-in-Fact for Robert W. Carlson, Jr. 2012-02-28 /s/ Paul Kuc, Attorney-in-Fact for Dana C. Smith 2012-02-28