4//SEC Filing
Harvey Mark James 4
Accession 0001249155-18-000027
CIK 0001477246other
Filed
Apr 2, 8:00 PM ET
Accepted
Apr 3, 6:01 PM ET
Size
8.3 KB
Accession
0001249155-18-000027
Insider Transaction Report
Form 4
S&W Seed CoSANW
Harvey Mark James
DirectorVice Chairman of the Board
Transactions
- Exercise/Conversion
Restricted Stock Units
2018-04-01−772→ 780 totalFrom: 2018-04-01→ Common Stock (772 underlying) - Exercise/Conversion
Common Stock
2018-04-01+772→ 21,949 total
Holdings
- 212,096(indirect: By retirement fund)
Common Stock
Footnotes (4)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on April 1, 2018 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 March 29, 2018 (the last trading day before the April 1, 2018 vesting date, which fell on a weekend) was $3.60.
- [F4]On July 15, 2015, the reporting person was granted 10,000 RSUs, of which 772 vested on April 1, 2018. The remaining unvested RSUs will vest on July 1, 2018, 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 0001573791
Filing Metadata
- Form type
- 4
- Filed
- Apr 2, 8:00 PM ET
- Accepted
- Apr 3, 6:01 PM ET
- Size
- 8.3 KB