SEC Form 4/A · accession 0001209191-15-050909
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 owner
Uday Garg
Director · 10% Owner
Period of report
May 20, 2015
Accepted (ET)
Jun 8, 2015 · 1:28 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 | P | 375,000 | $8.00 | A | 375,000 | I | By Mandala Capital AG Limited |
| Common StockF2,F1 | May 20, 2015 | C | 8,705,808 | — | A | 9,080,808 | I | By Mandala Agribusiness Co-Investments I 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 StockF1,F2 | — | May 20, 2015 | C | 8,918,750 | D | — | — | Common Stock | 8,705,808 | 0 | I |
Explanation of responses
- F1Mr. Garg is a member of the board of directors 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. Mr. Garg disclaims beneficial ownership of all securities listed herein, except to the extent of his pecuniary interest therein.
- 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.