SEC Form 5 · accession 0001249155-15-000028
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Wong
Director
Period of report
Jun 30, 2015
Accepted (ET)
Aug 13, 2015 · 2:26 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 |
|---|---|---|---|---|---|---|---|---|
| No securities beneficially owned | holding | — | — | — | 0 | 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 | $3.61 | Dec 9, 2014 | A | 7,000 | A | Apr 1, 2015 | Dec 9, 2024 | Common Stock | 7,000 | 7,000 | D |
Explanation of responses
- F1The 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.