SEC Form 4 · accession 0001249155-15-000002
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew K Szot
Officer — Exec VP Fin & Admin and CFO
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 5:14 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 Stock | Feb 17, 2015 | M | 25,000 | $4.00 | A | 60,679 | D | |
| Common StockF1 | Feb 17, 2015 | S | 5,651 | $4.75 | D | 55,028 | D | |
| Common StockF1 | Feb 17, 2015 | S | 900 | $4.74 | D | 54,128 | D | |
| Common StockF1 | Feb 17, 2015 | S | 15,100 | $4.735 | D | 39,028 | D | |
| Common StockF1 | Feb 17, 2015 | S | 601 | $4.73 | D | 38,427 | D | |
| Common StockF1 | Feb 17, 2015 | S | 2,748 | $4.72 | D | 35,679 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $4.00 | Feb 17, 2015 | M | 25,000 | D | — | Mar 9, 2015 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The sale was required by and made pursuant to a 10b5-1 Trading Plan, with no discretion exercised by the reporting person.
- F2The options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and continuing thereafter on the first day of each succeeding fiscal quarter (October 1, January 1, April 1 and July 1) through and including April 1, 2013.