SEC Form 4 · accession 0001249155-15-000034
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Charles Jury
Officer — Exec VP of Operations and COO
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 5:08 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 12, 2015 | M | 8,751 | $3.95 | A | 10,001 | D | |
| Common StockF1 | holding | — | — | — | 88,000 | I | By trust | |
| Common StockF2 | holding | — | — | — | 128,217 | I | By retirement fund |
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)F3 | $3.95 | Nov 12, 2015 | M | 8,751 | D | — | Dec 11, 2024 | Common Stock | 8,751 | 26,249 | D |
Explanation of responses
- F1These shares are owned directly by The Jury Bain Family Trust, of which the reporting person is a joint trustee with his spouse and a beneficiary.
- F2These shares are owned directly by the Jury Bain Superannuation Fund, a retirement fund of which the reporting person is a beneficiary.
- F3Options granted on December 11, 2014 vest in 12 quarterly installments over three years, which vesting began on April 1, 2015 and will continue on the first day of each succeeding fiscal quarter (July 1, October 1, January 1 and April 1) through and including January 1, 2018.