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