Home > Insider Trading > Filing (0001249155-18-000061)

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&Amp;W Seed Company 106 K Street, Suite 300 Sacramento CA 95814	Evp Finance & Admin And Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

Show Other Fields >>

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

Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock.
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.
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.
The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
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.
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.
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.
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.