SEC Form 4 · accession 0001209191-19-004606
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Consuelo E. Madere
Director
Period of report
Jan 16, 2019
Accepted (ET)
Jan 18, 2019 · 6:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 16, 2019 | A | 11,986 | $0.00 | A | 17,856 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $2.19 | Jan 16, 2019 | A | 11,986 | A | — | Jan 15, 2029 | Common Stock | 11,986 | 11,986 | D |
Explanation of responses
- F1The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs shall vest on January 16, 2020.
- F2100% of the shares subject to the option vest on January 16, 2020.