Filing Details

Accession Number:
0001249155-15-000001
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-02-19 16:56:53
Reporting Period:
2015-02-17
Filing Date:
2015-02-19
Accepted Time:
2015-02-19 16:56:53
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
1488713 S Mark Grewal P.o. Box 235
Five Points CA 93624
President And Ceo Yes 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 2015-02-17 175,000 $4.00 265,807 No 4 M Direct
Common Stock Disposition 2015-02-17 5,649 $4.75 260,158 No 4 S Direct
Common Stock Disposition 2015-02-17 900 $4.74 259,258 No 4 S Direct
Common Stock Disposition 2015-02-17 15,100 $4.74 244,158 No 4 S Direct
Common Stock Disposition 2015-02-17 599 $4.73 243,559 No 4 S Direct
Common Stock Disposition 2015-02-17 77,752 $4.72 165,807 No 4 S Direct
Common Stock Disposition 2015-02-17 75,000 $4.70 90,807 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2015-02-17 100,000 $0.00 100,000 $4.00
Common Stock Employee Stock Option (right to buy) Disposition 2015-02-17 75,000 $0.00 75,000 $4.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-03-09 No 4 M Direct
0 2015-06-15 No 4 M Direct
Footnotes
  1. The sale was required by and made pursuant to a 10b5-1 Trading Plan, with no discretion exercised by the reporting person.
  2. The options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and thereafter on the first day of each succeeding fiscal quarter (October 1, January 1, April 1 and July 1) through and including April 1, 2013.
  3. The options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and thereafter on the first day of each succeeding fiscal quarter (October 1, January 1, April 1 and July 1) through and including April 1, 2013.