SEC Form 3 · accession 0001249155-15-000009
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael N. Nordstrom
Director
Period of report
Mar 12, 2015
Accepted (ET)
Mar 19, 2015 · 1:10 pm EDT
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 | holding | — | — | — | 3,750 | D | ||
| Common Stock | holding | — | — | — | 14,477 | I | By living trust | |
| Common Stock | holding | — | — | — | 25,000 | I | By wife |
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 | $4.20 | holding | — | — | — | Jan 1, 2012 | Oct 24, 2016 | Common Stock | 10,000 | — | D |
| Stock Option (right to buy)F2 | $7.20 | holding | — | — | — | Jan 1, 2013 | Dec 8, 2017 | Common Stock | 12,500 | — | D |
| Stock Option (right to buy)F3 | $6.23 | holding | — | — | — | Apr 1, 2014 | Jan 31, 2019 | Common Stock | 7,000 | — | D |
| Common StockF4 | $3.61 | holding | — | — | — | Apr 1, 2015 | Dec 9, 2024 | Common Stock | 7,000 | — | D |
Explanation of responses
- F1The options vested and became exercisable in four quarterly installments of 2,500 shares over one year, commencing on January 1, 2012 and continuing thereafter on the first day of each succeeding fiscal quarter (April 1, July 1 and October 1), through and including October 1, 2012.
- F2The options vested and became exercisable in four quarterly installments of 3,125 shares over one year, commencing on January 1, 2013 and continuing thereafter on the first day of each succeeding fiscal quarter (April 1, July 1 and October 1), through and including October 1, 2013.
- F3The options vested and became exercisable in four quarterly installments of 1,750 shares over one year, commencing on April 1, 2014 and continuing thereafter on the first day of each succeeding fiscal quarter (July 1, October 1 and January 1) through and including January 1, 2015.
- F4The options vest and become exercisable in four quarterly installments of 1,750 shares over one year, commencing on April 1, 2015 and continuing thereafter on the first day of each succeeding fiscal quarter (July 1, October 1 and January 1) through and including January 1, 2016, subject to continued service through each vesting date.