4//SEC Filing
GARDNER DANIELSON B. 4
Accession 0001249155-18-000004
CIK 0001477246other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 4:11 PM ET
Size
9.3 KB
Accession
0001249155-18-000004
Insider Transaction Report
Form 4
S&W Seed CoSANW
GARDNER DANIELSON B.
VP Breeding and Genetics
Transactions
- Exercise/Conversion
Common Stock
2018-01-01+529→ 2,833 total - Tax Payment
Common Stock
2018-01-01$3.90/sh−233$909→ 2,600 total - Exercise/Conversion
Restricted Stock Units
2018-01-01−529→ 5,293 totalFrom: 2018-01-01Exp: 2018-01-01→ Common Stock (529 underlying)
Footnotes (4)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on January 1, 2018 through the issuance of shares of common stock.
- [F2]The reporting person is reporting the withholding by the Issuer of an aggregate of 233 shares of common stock that vested on January 1, 2018 pursuant to the RSU award referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
- [F3]Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on December 29, 2017 (the last trading day before the January 1, 2018 vesting date, which fell on a federal holiday) was $3.90.
- [F4]On September 18, 2017, the reporting person was granted 6,351 RSUs, of which 529 vested on January 1, 2018. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on the vesting date.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001560580
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 4:11 PM ET
- Size
- 9.3 KB