4//SEC Filing
Harvey Mark James 4
Accession 0001249155-18-000038
CIK 0001477246other
Filed
Jul 2, 8:00 PM ET
Accepted
Jul 3, 5:53 PM ET
Size
8.4 KB
Accession
0001249155-18-000038
Insider Transaction Report
Form 4
S&W Seed CoSANW
Harvey Mark James
DirectorVice Chairman of the Board
Transactions
- Exercise/Conversion
Restricted Stock Units
2018-07-01−780→ 0 totalFrom: 2018-07-01Exp: 2018-07-01→ Common Stock (780 underlying) - Exercise/Conversion
Common Stock
2018-07-01+780→ 22,829 total
Holdings
- 212,096(indirect: By retirement fund)
Common Stock
Footnotes (5)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock.
- [F2]Takes into account and corrects a mathematical error in the Amount of Securities Beneficially Owned as presented in the Form 4 filed by the reporting person on April 3, 2018.
- [F3]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.
- [F4]Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25.
- [F5]On July 15, 2015, the reporting person was granted 10,000 RSUs, of which the final installment of 780 RSUs vested on July 1, 2018.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001573791
Filing Metadata
- Form type
- 4
- Filed
- Jul 2, 8:00 PM ET
- Accepted
- Jul 3, 5:53 PM ET
- Size
- 8.4 KB