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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) | (3) | 10/04/2005 | A | 1,900,775 | (3) | (3) | Common Stock | 1,900,775 | (2) | 1,900,775 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCPEAK PATRICIA 1261 HAWK'S FLIGHT COURT EL DORADO HILLS, CA 95762 |
X | X |
/s/ Patricia McPeak | 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 1,279,371 shares in exchange for 1,665,870 shares of The RiceX Company common stock in connection with the merger between The RiceX Company and NutraCea (the "Merger") owned directly, 1,311,899 shares owned by spouse received in exchange for 1,708,225 shares of The RiceX Company common stock in the Merger, and 153,598 held by a trust controlled by the reporting person and her spouse in exchange for 200,000 shares of The RiceX Company common stock in the Merger. The reporting person disclaims beneficial ownership with regard to the 1,311,899 shares owned by her spouse. |
(2) | Received in exchange for options to purchase 2,475,000 shares of The RiceX common stock in the Merger owned by spouse which the reporting person disclaims any beneficial ownership. |
(3) | Various |