SEC Form 4 · accession 0001209191-16-138148
Arcadia Biosciences, Inc. · RKDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhongjin Lu
Officer — VP Product Development
Period of report
Aug 18, 2016
Accepted (ET)
Aug 22, 2016 · 5:13 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 | holding | — | — | — | 17,101 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.14 | Aug 18, 2016 | A | 50,000 | A | Aug 18, 2017 | Aug 17, 2026 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Reflects the purchase of (i) 750 shares of the Issuer's common stock on 2/1/16 at a per share purchase price of $2.54, and (ii) 1,591 shares of the Issuer's common stock at a per share purchase price of $2.07, each pursuant to participation in the Issuer's 2015 Employee Stock Purchase Plan.
- F2The option vests as to 25% of the award on the first anniversary of the date of the award (or August 18, 2017) and the remaining 75% thereafter vests in 36 equal installments beginning August 31, 2017 and continuing on the last day of each of the next 35 months, with the last vesting to occur on July 31, 2020.