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 (3) | Â (3) | Common Stock | 445,532 (3) | $ 0 | D (1) (4) | Â |
Series A Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 83,332 (3) | $ 0 | D (1) (5) | Â |
Series A Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 304,466 (3) | $ 0 | D (1) (6) | Â |
Series B Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 171,486 (3) | $ 0 | D (1) (4) | Â |
Series B Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 33,333 (3) | $ 0 | D (1) (5) | Â |
Series B Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 128,514 (3) | $ 0 | D (1) (6) | Â |
Series C Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 97,093 (3) | $ 0 | D (1) (4) | Â |
Series C Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 56,847 (3) | $ 0 | D (1) (7) | Â |
Series C Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 25,189 (3) | $ 0 | D (1) (5) | Â |
Series C Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 72,762 (3) | $ 0 | D (1) (6) | Â |
Series C-1 Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 66,276 (3) | $ 0 | D (1) (4) | Â |
Series C-1 Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 38,803 (3) | $ 0 | D (1) (7) | Â |
Series C-1 Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 17,194 (3) | $ 0 | D (1) (5) | Â |
Series C-1 Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 49,668 (3) | $ 0 | D (1) (6) | Â |
Series D Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 12,946 (3) | $ 0 | D (1) (4) | Â |
Series D Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 7,579 (3) | $ 0 | D (1) (7) | Â |
Series D Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 3,358 (3) | $ 0 | D (1) (5) | Â |
Series D Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 9,702 (3) | $ 0 | D (1) (6) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OXFORD BIOSCIENCE PARTNERS II L P C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
OXFORD BIOSCIENCE PARTNERS GS-ADJUNCT II LP C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
OXFORD BIOSCIENCE PARTNERS ADJUNCT II LP C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
Oxford Bioscience Management Partners II C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
OXFORD BIOSCIENCE PARTNERS BERMUDA II LIMITED PARTNERSHIP C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
OBP MANAGEMENT II LP C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
OBP MANAGEMENT BERMUDA II L P C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
WALTON ALAN G C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
RYAN CORNELIUS T C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
FLEMING JONATHAN C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 |  X |  |  |
/s/ Wilfriede van Assche, Attorney-in-Fact for Oxford Bioscience Partners II LP | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Oxford Bioscience Partners Adjunct II LP | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Oxford Bioscience Partners GS-Adjunct II LP | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Oxford Bioscience Partners Bermuda II Limited Partnership | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for OBP Management II LP | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for OBP Management Bermuda II LP | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Oxford Bioscience Management Partners II | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Alan G. Walton | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Cornelius T. Ryan | 02/08/2012 | |
**Signature of Reporting Person | Date | |
/s/ Wilfriede van Assche, Attorney-in-Fact for Jonathan Fleming | 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 reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or her pecuniary interest therein, if any. |
(2) | Oxford Bioscience Management Partners II directly holds these securities. Edmund Martin Olivier de Vezin, Alan G Walton, Cornelius T Ryan and Jonathan Fleming are general partners of and have investment authority over the securities in Oxford Bioscience Management Partners II. |
(3) | 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. |
(4) | Oxford Bioscience Partners II LP directly holds these securities. Edmund Martin Olivier de Vezin, Alan G Walton, Cornelius T Ryan and Jonathan Fleming are the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners II LP. |
(5) | Oxford Bioscience Partners Adjunct II LP directly holds these securities. Edmund Martin Olivier de Vezin, Alan G Walton, Cornelius T Ryan and Jonathan Fleming are the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners Adjunct II LP. |
(6) | Oxford Bioscience Partners Bermuda II Limited Partnership directly holds these securities. Edmund Martin Olivier de Vezin, Alan G Walton, Cornelius T Ryan and Jonathan Fleming are the general partners of OBP Management Bermuda II LP, which is the general partner of Oxford Bioscience Partners Bermuda II Limited Partnership. |
(7) | Oxford Bioscience Partners GS-Adjunct II LP directly holds these securities. Edmund Martin Olivier de Vezin, Alan G Walton, Cornelius T Ryan and Jonathan Fleming are the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners GS-Adjunct II LP. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |