SEC Form 4 · accession 0001209191-15-045952
Arcadia Biosciences, Inc. · RKDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vic C. Knauf
Officer — Chief Scientific Officer
Period of report
May 20, 2015
Accepted (ET)
May 22, 2015 · 1:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001469443
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 20, 2015 | C | 7,812 | — | A | 7,812 | D | |
| Common StockF2 | May 20, 2015 | C | 3,189 | — | A | 11,001 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1 | — | May 20, 2015 | C | 31,250 | D | — | — | Common Stock | 7,812 | 0 | D |
| Series D Convertible Preferred StockF2 | — | May 20, 2015 | C | 3,268 | D | — | — | Common Stock | 3,189 | 0 | D |
Explanation of responses
- F1The Series A Convertible Preferred Stock converted into the Issuer's common stock at a conversion ratio of one share of common stock for every four shares of preferred stock upon the closing of the Issuer's initial public offering of common stock, and had no expiration date. This conversion ratio reflected an adjustment due to the Issuer's 1-for-4 reverse stock split effected on May 8, 2015.
- F2The Series D Convertible Preferred Stock converted into the Issuer's common stock at a conversion ratio of one share of common stock for approximately every 1.0245 shares of preferred stock upon the closing of the Issuer's initial public offering of common stock, and had no expiration date. This conversion ratio reflected an adjustment due to the Issuer's 1-for-4 reverse stock split effected on May 8, 2015.