SEC Form 4 · accession 0001249155-15-000003
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mick Fleming
Director
Period of report
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 3:01 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 20, 2015 | M | 30,000 | $4.00 | A | 31,000 | D | |
| Common Stock | Feb 20, 2015 | F | 24,440 | $4.91 | D | 6,560 | 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)F1 | $4.00 | Feb 20, 2015 | M | 30,000 | D | — | Mar 9, 2015 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1The 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.