SEC Form 4/A · accession 0001209191-15-050904
Arcadia Biosciences, Inc. · RKDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Dominic Redfern
10% Owner
Mandala Agribusiness Fund
10% Owner
Tej Gujadhur
10% Owner
Sheokumar Gujadhur
10% Owner
Period of report
May 20, 2015
Accepted (ET)
Jun 8, 2015 · 1:19 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,F2,F3 | May 20, 2015 | C | 8,705,808 | — | A | 8,705,808 | D | |
| Common StockF3 | May 20, 2015 | P | 375,000 | $8.00 | A | 9,080,808 | I | By Mandala Capital AG Limited |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF2,F3,F1 | — | May 20, 2015 | C | 8,918,750 | D | — | — | Common Stock | 8,705,808 | 0 | D |
Explanation of responses
- F1The Series D Preferred Stock converted into Arcadia Biosciences, Inc. common stock on 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. The conversion ratio reflected an adjustment due to the issuer's 1-for-4 reverse stock split effected on May 8, 2015.
- F2The Series D preferred stock which converted into Arcadia Biosciences, Inc. common stock is held by Mandala Agribusiness Co-Investments I Limited.
- F3Dominic Redfern, Tej Gujadhur and Sheokumar Gujadhur are members of the board of Mandala Agribusiness Fund, which exercises shared voting and investment power over the shares owned by Mandala Agribusiness Co-Investments I Limited and also the shares owned by Mandala Capital AG Limited. Dominic Redfern, Tej Gujadhur and Sheokumar Gujadhur disclaim beneficial ownership of all securities listed herein, except to the extent of their respective pecuniary interests therein.