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