4//SEC Filing
WICKERSHAM GROVER T. 4
Accession 0001249155-19-000012
CIK 0001477246other
Filed
Jan 13, 7:00 PM ET
Accepted
Jan 14, 5:35 PM ET
Size
8.4 KB
Accession
0001249155-19-000012
Insider Transaction Report
Form 4
S&W Seed CoSANW
WICKERSHAM GROVER T
Chairman of the Board
Transactions
- Exercise/Conversion
Common Stock
2019-01-10+6,801→ 223,278 total - Exercise/Conversion
Restricted Stock Units
2019-01-10−6,801→ 0 totalFrom: 2019-01-10Exp: 2019-01-10→ Common Stock (6,801 underlying)
Holdings
- 23,723(indirect: By corporation)
Common Stock
Footnotes (4)
- [F1]Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock.
- [F2]Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
- [F3]Each RSU represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the January 10, 2019 vesting date was $2.00.
- [F4]The RSUs vested in full on January 10, 2019.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001265078
Filing Metadata
- Form type
- 4
- Filed
- Jan 13, 7:00 PM ET
- Accepted
- Jan 14, 5:35 PM ET
- Size
- 8.4 KB