Filing Details

Accession Number:
0001249155-18-000037
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-03 17:40:51
Reporting Period:
2018-07-01
Accepted Time:
2018-07-03 17:40:51
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1477246 S&w Seed Co SANW () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1401385 K Matthew Szot 106 K Street, Suite 300
Sacramento CA 95814
Evp Finance & 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 2018-07-01 1,940 $0.00 75,763 No 4 M Direct
Common Stock Acquisiton 2018-07-01 684 $0.00 76,447 No 4 M Direct
Common Stock Acquisiton 2018-07-01 1,005 $0.00 77,452 No 4 M Direct
Common Stock Disposition 2018-07-01 1,221 $3.25 76,231 No 4 F Direct
Common Stock Disposition 2018-07-02 1,100 $3.15 75,131 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
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 2018-07-01 1,940 $0.00 1,940 $0.00
Common Stock Restricted Stock Units Disposition 2018-07-01 684 $0.00 684 $0.00
Common Stock Restricted Stock Units Disposition 2018-07-01 1,005 $0.00 1,005 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-07-01 No 4 M Direct
3,422 2018-07-01 No 4 M Direct
8,046 2018-07-01 No 4 M Direct
Footnotes
  1. Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock.
  2. The reporting person is reporting the withholding by the Issuer of an aggregate of 1,221 shares of common stock that vested on July 1, 2018 pursuant to the three RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of the three RSU awards.
  3. The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  4. Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25.
  5. On July 15, 2015, the reporting person was granted 25,000 RSUs, of which the final installment of 1,940 RSUs vested on July 1, 2018.
  6. On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 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.
  7. On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on July 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.