SEC Form 4 · accession 0001249155-15-000013
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Grewal
Officer — President and CEO · Director
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Warrants (right to buy)F1 | $11.00 | May 4, 2015 | E | 1,000 | D | Jun 14, 2010 | May 3, 2015 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1The Class B Warrants that expired on May 3, 2015 were issued as a component of Units (each Unit consisting of two shares of Common Stock, one Class A Warrant and one Class B Warrant) in the Issuer's IPO. The Unit price was $10.096.