4//SEC Filing
Jury Dennis Charles 4
Accession 0001249155-18-000060
CIK 0001477246other
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 6:54 PM ET
Size
17.6 KB
Accession
0001249155-18-000060
Insider Transaction Report
Form 4
S&W Seed CoSANW
Jury Dennis Charles
EVP and COO
Transactions
- Exercise/Conversion
Restricted Stock Units
2018-10-01−252→ 1,765 totalFrom: 2017-10-01Exp: 2020-07-01→ Common Stock (252 underlying) - Exercise/Conversion
Restricted Stock Units
2018-10-01−266→ 1,072 totalFrom: 2017-01-01Exp: 2019-10-01→ Common Stock (266 underlying) - Exercise/Conversion
Common Stock
2018-10-01+239→ 6,426 total - Exercise/Conversion
Common Stock
2018-10-01+266→ 5,935 total - Exercise/Conversion
Common Stock
2018-10-01+252→ 6,187 total - Exercise/Conversion
Restricted Stock Units
2018-10-01−239→ 2,639 totalFrom: 2018-10-01Exp: 2021-07-01→ Common Stock (239 underlying)
Holdings
- 225,838(indirect: By Retirement Fund)
Common Stock
- 15,000(indirect: By Trust)
Common Stock
Footnotes (8)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock.
- [F2]Corrects a two share previously-reported typographical error in the number of shares beneficially owned.
- [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]These shares are owned directly by Jury Family Nominees Pty Ltd, which is the Corporate Trustee of the Jury Bain Family Trust A/C. The reporting person is a joint trustee and beneficiary of the family trust.
- [F5]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.
- [F6]On October 5, 2016, the reporting person was granted 3,200 RSUs, of which 266 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 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 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, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date.
- [F8]On August 31, 2018, the reporting person was granted 2,878 RSUs, of which 239 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 0001573792
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 6:54 PM ET
- Size
- 17.6 KB