4//SEC Filing
S&W Seed Co 4
Accession 0001249155-17-000003
$SANWCIK 0001477246operating
Filed
Jan 3, 7:00 PM ET
Accepted
Jan 4, 5:49 PM ET
Size
18.3 KB
Accession
0001249155-17-000003
Insider Transaction Report
Form 4
S&W Seed CoSANW
GREWAL MARK S
DirectorPresident and CEO
Transactions
- Exercise/Conversion
Restricted Stock Units
2017-01-01−629→ 6,933 total→ Common Stock (629 underlying) - Exercise/Conversion
Common Stock
2017-01-01+629→ 113,745 total - Tax Payment
Common Stock
2017-01-01$4.60/sh+3,188$14,665→ 110,557 total - Exercise/Conversion
Common Stock
2017-01-01+4,722→ 111,185 total - Exercise/Conversion
Restricted Stock Units
2017-01-01−4,722→ 14,170 total→ Common Stock (4,722 underlying) - Exercise/Conversion
Common Stock
2017-01-01+3,750→ 113,116 total - Exercise/Conversion
Restricted Stock Units
2017-01-01−3,750→ 11,595 total→ Common Stock (3,750 underlying)
Footnotes (8)
- [F1]Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 100,000 RSUs (the "2013 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013.
- [F2]Represents the conversion upon vesting of RSUs into common stock. On July 15, 2015, the reporting person was granted 25,000 RSUs (the "2015 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on July 17, 2015.
- [F3]Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 7,562 RSUs (the "2016 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on October 7, 2016.
- [F4]The reporting person is reporting the withholding by the Issuer of an aggregate of 3,188 shares of common stock that vested on January 1, 2017 pursuant to the 2013 RSU grant, the 2015 RSU grant and the 2016 RSU grant, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person as of January 1, 2017.
- [F5]Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on December 30, 2016 was $4.60.
- [F6]On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date.
- [F7]On July 15,2015, the reporting person was granted 25,000 RSUs, of which 3,750 vested on January 1, 2017. The common stock into which the RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer on each respective vesting date.
- [F8]On October 5, 2016, the reporting person was granted 7,562 RSUs, of which 629 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001477246
Filing Metadata
- Form type
- 4
- Filed
- Jan 3, 7:00 PM ET
- Accepted
- Jan 4, 5:49 PM ET
- Size
- 18.3 KB