4//SEC Filing
Jury Dennis Charles 4
Accession 0001249155-18-000040
CIK 0001477246other
Filed
Jul 2, 8:00 PM ET
Accepted
Jul 3, 8:16 PM ET
Size
16.7 KB
Accession
0001249155-18-000040
Insider Transaction Report
Form 4
S&W Seed CoSANW
Jury Dennis Charles
EVP and COO
Transactions
- Exercise/Conversion
Common Stock
2018-07-01+653→ 5,149 total - Exercise/Conversion
Common Stock
2018-07-01+266→ 5,415 total - Exercise/Conversion
Common Stock
2018-07-01+252→ 5,667 total - Exercise/Conversion
Restricted Stock Units
2018-07-01−653→ 0 totalFrom: 2018-07-01Exp: 2018-07-01→ Common Stock (653 underlying) - Exercise/Conversion
Restricted Stock Units
2018-07-01−266→ 1,338 totalFrom: 2018-07-01Exp: 2019-10-01→ Common Stock (266 underlying) - Exercise/Conversion
Restricted Stock Units
2018-07-01−252→ 2,017 totalFrom: 2018-07-01Exp: 2020-07-01→ Common Stock (252 underlying)
Holdings
- 240,838(indirect: By Retirement Fund)
Common Stock
Footnotes (7)
- [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 the transfer for no consideration of 15,000 shares from direct ownership to indirect ownership between the reporting person and his retirement fund, effective as of December 22, 2017.
- [F3]These shares are owned directly by the Jury Bain 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 8,333 RSUs, of which the final installment of 653 RSUs vested on July 1, 2018.
- [F6]On October 5, 2016, the reporting person was granted 3,200 RSUs, of which 266 vested on July 1, 2018. The remaining RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date.
- [F7]On September 18, 2017, the reporting person was granted 3,025 RSUs, of which 252 vested on July 1, 2018. The remaining RSUs will continue to vest in equal installments 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 each respective vesting date.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001573792
Filing Metadata
- Form type
- 4
- Filed
- Jul 2, 8:00 PM ET
- Accepted
- Jul 3, 8:16 PM ET
- Size
- 16.7 KB