Harvey Mark James 4
4 · S&W Seed Co · Filed Oct 3, 2017
Insider Transaction Report
Form 4
S&W Seed CoSANW
Harvey Mark James
DirectorVice Chairman of the Board
Transactions
- Exercise/Conversion
Common Stock
2017-10-01+772→ 11,935 total - Exercise/Conversion
Restricted Stock Units
2017-10-01−772→ 2,324 totalFrom: 2017-10-01→ Common Stock (772 underlying)
Holdings
- 212,096(indirect: By retirement fund)
Common Stock
Footnotes (4)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2017 through the issuance of shares of common stock.
- [F2]These shares are owned directly by The Harvey Superannuation Fund, a retirement fund directed by the reporting person and under which he is a beneficiary.
- [F3]Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15.
- [F4]On July 15, 2015, the reporting person was granted 10,000 RSUs, of which 772 vested on October 1, 2017. The remaining unvested RSUs will continue to vest 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 through each respective vesting date.