4//SEC Filing
Panter Donald M. Jr. 4
Accession 0001209191-20-053846
CIK 0001477246other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 6:04 PM ET
Size
9.5 KB
Accession
0001209191-20-053846
Insider Transaction Report
Form 4
S&W Seed CoSANW
Panter Donald M. Jr.
Executive VP, Americas
Transactions
- Award
Common Stock
2020-10-01+15,684→ 38,506 total - Award
Stock options (right to buy)
2020-10-01+87,500→ 87,500 totalExercise: $2.41Exp: 2030-10-01→ Common Stock (87,500 underlying) - Tax Payment
Common Stock
2020-10-01$2.41/sh−600$1,446→ 37,906 total
Footnotes (3)
- [F1]The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 1/12th of the shares subject to the RSUs will vest on January 1, 2021, and the remainder will vest in eleven equal quarterly installments, subject to continued service with the Issuer on each respective vesting date.
- [F2]The reporting person is reporting the withholding by the Issuer of an aggregate of 600 shares of common stock that vested on October 1, 2020 pursuant to an RSU award granted on October 14, 2019, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
- [F3]The options vest in 12 quarterly installments over three years, commencing on January 1, 2021 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2023, subject to continued service with the Issuer on each respective vesting date.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001756741
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 6:04 PM ET
- Size
- 9.5 KB