Filing Details

Accession Number:
0001592747-14-000066
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-03 20:42:17
Reporting Period:
2014-10-01
Filing Date:
2014-10-03
Accepted Time:
2014-10-03 20:42:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1477246 S&W Seed Co SANW Agricultural Production-Crops (100) 271275784
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1401385 K Matthew Szot P.o. Box 235
Five Points CA 93624
Evp Of Fin. And Admin. And Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-10-01 4,722 $0.00 37,809 No 4 M Direct
Common Stock Disposition 2014-10-01 2,156 $0.00 35,653 No 4 F Direct
Common Stock Disposition 2014-10-01 1,100 $4.12 34,553 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2014-10-01 4,722 $0.00 4,722 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
56,668 No 4 M Direct
Footnotes
  1. Represents the conversion upon vesting of restricted stock units ("RSUs") into shares of common stock. On March 16, 2013, the Reporting Person was granted 100,000 RSUs that were previously reported in Table II of Form 4, which was filed with the Securities and Exchange Commission on March 19, 2013.
  2. The Reporting Person is reporting the withholding by the Issuer of 2,156 shares of common stock that vested on October 1, 2014, but which were not issued in order to satisfy the Reporting Person's tax withholding obligations in connection with the delivery of the converted common stock to the Reporting Person as of October 1, 2014.
  3. These sales were made pursuant to a Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
  4. Each RSU is the economic equivalent of one share of the Issuer's common stock.
  5. On March 16, 2013, the Reporting Person was granted 100,000 RSUs, of which 4,722 vested on October 1, 2014. The number of shares of common stock into which such vested RSUs converted on October 1, 2014 is reported in Table I of this Form 4. The remaining unvested RSUs will continue to vest in 12 additional quarterly installments of 4,722 RSUs on the first day of each fiscal quarter and a final quarterly installment will vest an aggregate of 4,726 RSUs on October 1, 2017, subject to the Reporting Person's continued service with the Issuer through the vesting date. Vested shares will be delivered to the Reporting Person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion.