4//SEC Filing
GARDNER DANIELSON B. 4
Accession 0001249155-18-000059
CIK 0001477246other
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 6:33 PM ET
Size
13.4 KB
Accession
0001249155-18-000059
Insider Transaction Report
Form 4
S&W Seed CoSANW
GARDNER DANIELSON B.
VP Breeding and Genetics
Transactions
- Exercise/Conversion
Common Stock
2018-10-01+529→ 3,754 total - Exercise/Conversion
Restricted Stock Units
2018-10-01−529→ 3,706 totalFrom: 2017-10-01Exp: 2020-07-01→ Common Stock (529 underlying) - Exercise/Conversion
Common Stock
2018-10-01+410→ 4,164 total - Tax Payment
Common Stock
2018-10-01$2.69/sh−325$874→ 3,839 total - Exercise/Conversion
Restricted Stock Units
2018-10-01−410→ 4,512 totalFrom: 2018-10-01Exp: 2021-07-01→ Common Stock (410 underlying)
Footnotes (5)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on October 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 325 shares of common stock that vested on October 1, 2018 pursuant to the RSU awards 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 awards.
- [F3]Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the October 1, 2018 vesting date was $2.69.
- [F4]On September 18, 2017, the reporting person was granted 6,351 RSUs, of which 529 vested on October 1, 2018. The remaining unvested RSUs will continued 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.
- [F5]On August 31, 2018, the reporting person was granted 4,922 RSUs, of which 410 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2021, 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 0001560580
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 6:33 PM ET
- Size
- 13.4 KB