Filing Details

Accession Number:
0001249155-18-000061
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-03 19:19:31
Reporting Period:
2018-10-01
Accepted Time:
2018-10-03 19:19:31
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 C/o S&w Seed Company
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 2018-10-01 684 $0.00 74,715 No 4 M Direct
Common Stock Acquisiton 2018-10-01 1,005 $0.00 75,720 No 4 M Direct
Common Stock Acquisiton 2018-10-01 1,039 $0.00 76,759 No 4 M Direct
Common Stock Disposition 2018-10-01 944 $2.69 75,815 No 4 F Direct
Common Stock Disposition 2018-10-01 1,100 $2.46 74,715 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 Unit Disposition 2018-10-01 684 $0.00 684 $0.00
Common Stock Restricted Stock Units Disposition 2018-10-01 1,005 $0.00 1,005 $0.00
Common Stock Restricted Stock Units Disposition 2018-10-01 1,039 $0.00 1,039 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,738 2017-01-01 2019-10-01 No 4 M Direct
7,041 2017-10-01 2020-07-01 No 4 M Direct
11,430 2018-10-01 2021-07-01 No 4 M Direct
Footnotes
  1. Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock.
  2. Reflects the correction of an error in the number of shares beneficially owned. On January 16, 2018, the reporting person reported the sale of 1,100 shares under his Rule 10b5-1 trading plan. Subsequently, the Form 4s filed on April 3, 2018 and July 3, 2018 inadvertently overlooked that sale in the calculation of the total shares beneficially owned after the reported transactions. All transactions were timely reported. This entry updates and corrects the total shares owned by the reporting person.
  3. The reporting person is reporting the withholding of an aggregate of 944 shares of common stock that vested on October 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 such RSU awards.
  4. The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  5. 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.
  6. On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 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.
  7. On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 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.
  8. On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 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.