SEC Form 4 · accession 0001209191-16-113536
Arcadia Biosciences, Inc. · RKDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vic C. Knauf
Officer — Chief Scientific Officer · Director
Period of report
Apr 4, 2016
Accepted (ET)
Apr 6, 2016 · 5:53 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 Stock | Apr 4, 2016 | M | 1,200 | $1.08 | A | 48,334 | D | |
| Common StockF2 | Apr 4, 2016 | S | 1,200 | $2.975 | D | 47,134 | D | |
| Common Stock | Apr 5, 2016 | M | 1,653 | $1.08 | A | 48,787 | D | |
| Common StockF3 | Apr 5, 2016 | S | 1,653 | $2.982 | D | 47,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $1.08 | Apr 4, 2016 | M | 1,200 | D | — | Jun 30, 2018 | Common Stock | 1,200 | 231,361 | D |
| Employee Stock Option (right to buy)F4 | $1.08 | Apr 5, 2016 | M | 1,653 | D | — | Jun 30, 2018 | Common Stock | 1,653 | 229,708 | D |
Explanation of responses
- F1The security transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Stock Trading Plan (the "Plan"), adopted by the Reporting Person effective December 15, 2015.
- F2This transaction was executed in multiple trades at prices ranging from $2.97 to $2.99. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $2.97 to $2.99. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4The option is fully exercisable as of the date hereof.