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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carlson Robert W Jr. C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
See Remarks |
/s/Robert W. Carlson, Jr. | 07/10/2012 | |
**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) | Reflects the weighted average purchase price paid by Robert W. Carlson, Jr. These shares were purchased in multiple transactions ranging from $10.05 to $10.21, inclusive. The reporting person undertakes to provide Ceres, Inc., any shareholder of Ceres, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in the footnotes (2), (3) and (4) to this Form 4. |
(2) | Reflects the weighted average purchase price paid by Robert W. Carlson, Jr. These shares were purchased in multiple transactions ranging from $9.57 to $9.68, inclusive. |
(3) | Reflects the weighted average purchase price paid by Robert W. Carlson, Jr. These shares were purchased in multiple transactions ranging from $9.94 to $9.96, inclusive. |
(4) | The Ambergate Trust directly holds these securities. 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. The reporting person disclaims beneficial ownership of the securities held by the Ambergate Trust. |
(5) | The Lynda De Logi Trust directly holds these securities. 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. is one of three trustees for the Lynda De Logi Trust. The reporting person disclaims beneficial ownership of the securities held by the Lynda De Logi Trust. |
Remarks: Robert W. Carlson, Jr. is currently one of three trustees for the Lynda De Logi Trust. Formerly, the reporting person was one of two trustees for the Lynda De Logi Trust. The Lynda De Logi Trust is part of a group that is a ten percent owner of the issuer. |