SEC Form 4 · accession 0001209191-18-056545
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald M. Panter Jr.
Officer — Executive VP, Americas
Period of report
Oct 29, 2018
Accepted (ET)
Oct 30, 2018 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $2.79 | Oct 29, 2018 | A | 75,000 | A | — | Oct 28, 2028 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1The options vest in 12 quarterly installments over three years, commencing on January 1, 2019 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2021, subject to continued service with the Issuer on each respective vesting date. A total of 6,250 shares will vest at each respective vesting date.