0001209191-15-045621.txt : 20150521
0001209191-15-045621.hdr.sgml : 20150521
20150521184632
ACCESSION NUMBER: 0001209191-15-045621
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150520
FILED AS OF DATE: 20150521
DATE AS OF CHANGE: 20150521
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Arcadia Biosciences, Inc.
CENTRAL INDEX KEY: 0001469443
STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870]
IRS NUMBER: 810571538
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 202 COUSTEAU PLACE
STREET 2: SUITE 200
CITY: DAVIS
STATE: X1
ZIP: 95618
BUSINESS PHONE: 602-429-0476
MAIL ADDRESS:
STREET 1: 4222 E. THOMAS RD
STREET 2: SUITE 245
CITY: PHOENIX
STATE: X1
ZIP: 85018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: John G. Sperling 2012 Irrevocable Trust No. 3
CENTRAL INDEX KEY: 0001641772
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884106
BUSINESS ADDRESS:
STREET 1: 4835 E. EXETER BLVD
CITY: PHOENIX
STATE: AZ
ZIP: 85018
BUSINESS PHONE: 415-954-4400
MAIL ADDRESS:
STREET 1: FARELLA BRAUN + MARTEL
STREET 2: RUSS BUILDING, 235 MONTGOMERY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: John G. Sperling 2012 Irrevocable Trust No. 2
CENTRAL INDEX KEY: 0001641770
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884107
BUSINESS ADDRESS:
STREET 1: 4835 E. EXETER BLVD
CITY: PHOENIX
STATE: AZ
ZIP: 85018
BUSINESS PHONE: 415-954-4400
MAIL ADDRESS:
STREET 1: FARELLA BRAUN + MARTEL
STREET 2: RUSS BUILDING, 235 MONTGOMERY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: John G. Sperling 2012 Irrevocable Trust No. 1
CENTRAL INDEX KEY: 0001641769
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884108
BUSINESS ADDRESS:
STREET 1: 4835 E. EXETER BLVD
CITY: PHOENIX
STATE: AZ
ZIP: 85018
BUSINESS PHONE: 415-954-4400
MAIL ADDRESS:
STREET 1: FARELLA BRAUN + MARTEL
STREET 2: RUSS BUILDING, 235 MONTGOMERY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Moral Compass Corp
CENTRAL INDEX KEY: 0001641775
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884109
BUSINESS ADDRESS:
STREET 1: 4835 E. EXETER BLVD
CITY: PHOENIX
STATE: AZ
ZIP: 85018
BUSINESS PHONE: 415-954-4997
MAIL ADDRESS:
STREET 1: PHILIP W. PETERS, FARELLA BRAUN + MARTEL
STREET 2: RUSS BUILDING, 235 MONTGOMERY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BISHOP TERRI C
CENTRAL INDEX KEY: 0001338665
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884111
MAIL ADDRESS:
STREET 1: 4025 S RIVERPOINT PKWY
CITY: PHOENIX
STATE: AZ
ZIP: 85040
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SPERLING PETER V
CENTRAL INDEX KEY: 0001213138
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37383
FILM NUMBER: 15884110
MAIL ADDRESS:
STREET 1: 4615 E ELWOOD
CITY: PHOENIX
STATE: AZ
ZIP: 85040
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-05-20
0
0001469443
Arcadia Biosciences, Inc.
RKDA
0001338665
BISHOP TERRI C
C/O MORAL COMPASS CORPORATION
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
0001213138
SPERLING PETER V
C/O MORAL COMPASS CORPORATION
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
0001641775
Moral Compass Corp
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
0001641769
John G. Sperling 2012 Irrevocable Trust No. 1
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
0001641770
John G. Sperling 2012 Irrevocable Trust No. 2
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
0001641772
John G. Sperling 2012 Irrevocable Trust No. 3
4835 E. EXETER BLVD.
PHOENIX
AZ
85018
0
0
1
0
Common Stock
2015-05-20
4
P
0
1000000
8.00
A
1160714
I
By Moral Compass Corporation
Common Stock
2015-05-20
4
C
0
15170451
0.00
A
16331165
I
By Moral Compass Corporation
Common Stock
2015-05-20
4
C
0
3847751
0.00
A
20178916
I
By Moral Compass Corporation
Common Stock
2015-05-20
4
C
0
2336448
0.00
A
22515364
I
By Moral Compass Corporation
Series A Convertible Preferred Stock
2015-05-20
4
C
0
60681805
0.00
D
Common Stock
15170451
0
I
By Moral Compass Corporation
Series B Convertible Preferred Stock
2015-05-20
4
C
0
15391006
0.00
D
Common Stock
3847751
0
I
By Moral Compass Corporation
Series C Convertible Preferred Stock
2015-05-20
4
C
0
9345794
0.00
D
Common Stock
2336448
0
I
By Moral Compass Corporation
Terri Bishop and Peter Sperling both serve as directors of Moral Compass Corporation. Moral Compass Corporation is owned in equal amounts by the John G. Sperling 2012 Irrevocable Trust No. 1, the John G. Sperling 2012 Irrevocable Trust No. 2 and the John G. Sperling 2012 Irrevocable Trust No. 3 (the "Sperling Trusts"). Darby Shupp, a director of the Issuer, Terri Bishop and Peter Sperling together serve as the three trustees of the Sperling Trusts and have shared voting and investment power over the shares held by Moral Compass Corporation. Ms. Shupp's statement of changes in beneficial ownership of securities of the Issuer is reported on a Form 4 filed separately.
The 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. The conversion ratio reflected an adjustment due to the Issuer's 1-for-4 reverse stock split effected on May 8, 2015.
The Series B 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. The conversion ratio reflected an adjustment due to the Issuer's 1-for-4 reverse stock split effected on May 8, 2015.
The Series C 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. The conversion ratio reflected an adjustment due to the Issuer's 1-for-4 reverse stock split effected on May 8, 2015.
/s/ Philip Peters, as Attorney-in-Fact for Terri Bishop
2015-05-21
/s/ Philip Peters, as Attorney-in-Fact for Peter Sperling
2015-05-21
/s/ Philip Peters, as Attorney-in-Fact for Moral Compass Corporation
2015-05-21
/s/ Philip Peters, as Attorney-in-Fact for John G. Sperling 2012 Irrevocable Trust No. 1
2015-05-21
/s/ Philip Peters, as Attorney-in-Fact for John G. Sperling 2012 Irrevocable Trust No. 2
2015-05-21
/s/ Philip Peters, as Attorney-in-Fact for John G. Sperling 2012 Irrevocable Trust No. 3
2015-05-21