Form D · Agriculture
Ceres, Inc.
Thousand Oaks, CA · CIK 0000767884
Offering snapshot reported Sep 4, 2015 · SEC filing
- Reported sold
- $2.1M Offering amount: $2.1M
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 20, 2015 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 4, 2015 | Initial | $2,100,000 | No comparison | 5 | SEC filing |
| Aug 6, 2015 | Initial | $1,555,200 | No comparison | 3 | SEC filing |
| Aug 5, 2011 | Initial | $11,425,232 | No comparison | 9 | SEC filing |
| Jul 1, 2010 | Initial | $20,000,000 | No comparison | 5 | SEC filing |
| Sep 21, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $156K
- Finders' fees
- $0
- Form D file number
- 021-247100
TOTAL OFFERING AMOUNT INCLUDES THE CONCURRENT REGISTERED OFFERING OF COMMON STOCK.
SALES COMMISSIONS RELATES TO COMMISSIONS FOR THE SALE OF COMMON STOCK IN THE CONCURRENT REGISTERED OFFERING. PLACEMENT AGENT ALSO RECEIVED WARRANTS TO PURCHASE 31,970 SHARES OF COMMON STOCK OF THE COMPANY AS PART OF ITS COMPENSATION.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| LADENBURG THALMANN & CO. INC. | 505 | NICHOLAS STERGIS · CRD 2907465 |
Source: Form D, filed Sep 4, 2015. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Pascal Brandys | Director |
| Raymond Debbane | Director |
| Walter De Logi | Director |
| Ruth Devenyns | Director |
| Richard Flavell | Director |
| Robert Goldberg | Director |
| Aflalo Guimaraes | Director |
| J. Jefferson Gwyn | Executive |
| Jeff Gwyn | Executive |
| Richard Hamilton | Director, Executive |
| Chansoo Joung | Director |
| Thomas Kiley | Director |
| David Krieger | Director |
| Paul Kuc | Executive |
| Cheryl Morley | Director |
| Edmund Olivier | Director |
| Roger Pennell | Executive |
| Michael Stephenson | Executive |
| Gerard Van Acker | Director |
| Wilfriede Van Assche | Executive |
| Wilifriede Van Assche | Executive |
Issuer details
Industry: Agriculture (See others in industry)
Address:
1535 Rancho Conejo Boulevard
Thousand Oaks, CA, 91320
Thousand Oaks, CA, 91320