4//SEC Filing
S&W Seed Co 4
Accession 0001249155-17-000031
$SANWCIK 0001477246operating
Filed
Apr 3, 8:00 PM ET
Accepted
Apr 4, 9:12 PM ET
Size
8.8 KB
Accession
0001249155-17-000031
Insider Transaction Report
Form 4
S&W Seed CoSANW
Harvey Mark James
DirectorVice Chairman of the Board
Transactions
- Exercise/Conversion
Common Stock
2017-04-01+772→ 10,391 total - Exercise/Conversion
Restricted Stock Units
2017-04-01−772→ 3,868 total→ Common Stock (772 underlying)
Holdings
- 212,096(indirect: By Retirement Fund)
Common Stock
Footnotes (4)
- [F1]Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On July 15, 2015, the reporting person was granted 10,000 RSUs that were previously reported on Table II of Form 4, which report was filed with the Securities and Exchange Commission (the "SEC") on July 17, 2015.
- [F2]These shares are owned directly by The Harvey Superannuation Fund, a retirement fund of which the reporting person is a beneficiary.
- [F3]Each RSU represents the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on March 31, 2017 (the last trading date before the April 1, 2017 vesting date, which fell on a weekend) was $4.95.
- [F4]On July 15, 2015, the reporting person was granted 10,000 RSUs, of which 772 vested on April 1, 2017. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001477246
Filing Metadata
- Form type
- 4
- Filed
- Apr 3, 8:00 PM ET
- Accepted
- Apr 4, 9:12 PM ET
- Size
- 8.8 KB