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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 76,799 | 10/04/2005 | 09/09/2008 | Common Stock | 76,799 | (3) | 76,799 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 30,719 | 10/04/2005 | 09/09/2008 | Common Stock | 30,719 | (4) | 30,719 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 691,191 | 10/04/2005 | 11/01/2009 | Common Stock | 691,191 | (5) | 691,191 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 95,998 | 10/04/2005 | 01/02/2012 | Common Stock | 95,998 | (6) | 95,998 | D | ||||
Stock Option (right to buy) | $ 0.3 | 10/04/2005 | A | 596,812 | (8) | 03/31/2015 | Common Stock | 537,678 | (7) | 596,812 | D | ||||
Stock Option (right to buy) | (10) | 10/04/2005 | A | 39,935 | (10) | (10) | Common Stock | 39,935 | (9) | 39,935 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LYNCH IKE E 1241 HAWK?S FLIGHT COURT SUITE 103 EL DORADO HILLS, CA 95762 |
Chief Operating Officer |
/s/ Ike E. Lynch | 10/06/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Received in exchange for 355,054 shares of The RiceX Company common stock in connection with the merger between The RiceX Company and NutraCea (the "Merger"). |
(2) | Includes 11,065 shares owned indirectly through spouse which were received in exchange for 14,409 shares of The RiceX Company in the Merger to which the reporting person disclaims any beneficial ownership. |
(3) | Received in the Merger in exchange for an employee stock option to acquire 100,000 shares of The RiceX Company common stock for $0.30 per share. |
(4) | Received in the Merger in exchange for an employee stock option to acquire 40,000 shares of The RiceX Company common stock for $0.30 per share. |
(5) | Received in the Merger in exchange for an employee stock option to acquire 900,000 shares of The RiceX Company common stock for $0.30 per share. |
(6) | Received in the Merger in exchange for an employee stock option to acquire 125,000 shares of The RiceX Company common stock for $0.30 per share. |
(7) | Received in the Merger in exchange for an employee stock option to acquire 777,111 shares of The RiceX Company common stock for $0.30 per share. Includes options to purchase 32,255 shares owned indirectly through spouse which were received in exchange for options to purchase 42,000 shares of The RiceX Company in the Merger. The reporting person disclaims any beneficial ownership of securities owned by spouse. |
(8) | Immediate vesting of 1/3 of options originally granted on March 31, 2005 with balance vesting monthly over three years. |
(9) | Includes options to purchase 39,935 shares owned indirectly through spouse which were received in exchange for options to purchase 52,000 shares of The RiceX Company in the Merger. The reporting person disclaims any beneficial ownership of securities owned by spouse. |
(10) | Various |