SEC Form 4 · accession 0001249155-15-000005

S&W Seed Co · SANW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice President of Processing

Period of report

Mar 4, 2015

Accepted (ET)

Mar 6, 2015 · 6:01 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
Common Stock	Mar 4, 2015	M	20,000	$4.00	A	20,000	D
Common Stock	Mar 4, 2015	S	2,537	$4.67	D	17,463	D
Common Stock	Mar 4, 2015	S	100	$4.635	D	17,363	D
Common Stock	Mar 4, 2015	S	53	$4.63	D	17,310	D
Common Stcok	Mar 4, 2015	S	1,500	$4.62	D	15,810	D
Common Stock	Mar 4, 2015	S	41	$4.61	D	15,769	D
Common Stock	Mar 4, 2015	S	3,983	$4.60	D	11,786	D
Common Stock	Mar 4, 2015	S	300	$4.56	D	11,486	D
Common Stock	Mar 4, 2015	S	1,100	$4.55	D	10,386	D
Common Stock	Mar 4, 2015	S	400	$4.54	D	9,986	D
Common Stock	Mar 4, 2015	S	700	$4.535	D	9,286	D
Common Stock	Mar 4, 2015	S	1,730	$4.53	D	7,556	D
Common Stock	Mar 4, 2015	S	3,700	$4.51	D	3,856	D
Common Stock	Mar 4, 2015	S	600	$4.505	D	3,256	D
Common Stock	Mar 4, 2015	S	3,256	$4.50	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F1	$4.00	Mar 4, 2015	M	20,000	D	—	Mar 9, 2015	Common Stock	20,000	0	D

F1The options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and 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.