SEC Form 4 · accession 0001249155-15-000020
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles B Seidler
Director
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 2:17 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 | Jun 15, 2015 | M | 30,000 | $4.00 | A | 78,680 | D | |
| Common Stock | Jun 15, 2015 | F | 23,392 | $5.13 | D | 55,288 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $4.00 | Jun 15, 2015 | M | 30,000 | D | — | Jun 15, 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 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.