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 (2) | Â (2) | Common Stock | 445,532 (2) | $ 0 | I (3) | By Oxford Bioscience Partners II LP |
Series A Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 83,332 (2) | $ 0 | I (4) | By Oxford Bioscience Partners Adjunct II LP |
Series A Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 304,466 (2) | $ 0 | I (5) | By Oxford Bioscience Partners Bermuda II Limited Partnership |
Series B Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 171,486 (2) | $ 0 | I (3) | By Oxford Bioscience Partners II LP |
Series B Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 33,333 (2) | $ 0 | I (4) | By Oxford Bioscience Partners Adjunct II LP |
Series B Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 128,514 (2) | $ 0 | I (5) | By Oxford Bioscience Partners Bermuda II Limited Partnership |
Series C Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 97,093 (2) | $ 0 | I (3) | By Oxford Bioscience Partners II LP |
Series C Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 56,847 (2) | $ 0 | I (6) | By Oxford Bioscience Partners GS-Adjunct II LP |
Series C Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 25,189 (2) | $ 0 | I (4) | By Oxford Bioscience Partners Adjunct II LP |
Series C Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 72,762 (2) | $ 0 | I (5) | By Oxford Bioscience Partners Bermuda II Limited Partnership |
Series C-1 Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 66,276 (2) | $ 0 | I (3) | By Oxford Bioscience Partners II LP |
Series C-1 Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 38,803 (2) | $ 0 | I (6) | By Oxford Bioscience Partners GS-Adjunct II LP |
Series C-1 Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 17,194 (2) | $ 0 | I (4) | By Oxford Bioscience Partners Adjunct II LP |
Series C-1 Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 49,668 (2) | $ 0 | I (5) | By Oxford Bioscience Partners Bermuda II Limited Partnership |
Series D Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 12,946 (2) | $ 0 | I (3) | By Oxford Bioscience Partners II LP |
Series D Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 7,579 (2) | $ 0 | I (6) | By Oxford Bioscience Partners GS-Adjunct II LP |
Series D Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 3,358 (2) | $ 0 | I (4) | By Oxford Bioscience Partners Adjunct II LP |
Series D Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 9,702 (2) | $ 0 | I (5) | By Oxford Bioscience Partners Bermuda II Limited Partnership |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Olivier de Vezin Edmund Martin C/O CERES, INC. 1535 RANCHO CONEJO BOULEVARD THOUSAND OAKS, CA 91320 |
 X |  X |  |  |
/s/ Wilfriede van Assche, Attorney-in-Fact for Edmund Martin Olivier de Vezin | 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) | The reporting person is one of the general partners of Oxford Bioscience Management Partners II. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(2) | 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. |
(3) | The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(4) | The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners Adjunct II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(5) | The reporting person is one of the general partners of OBP Management Bermuda II LP, which is the general partner of Oxford Bioscience Partners Bermuda II Limited Partnership. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
(6) | The reporting person is one of the general partners of OBP Management II LP, which is the general partner of Oxford Bioscience Partners GS-Adjunct II LP. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |