SEC Form 4 · accession 0001249155-15-000042
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark James Harvey
Director
Period of report
Dec 11, 2015
Accepted (ET)
Dec 15, 2015 · 7:29 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Dec 11, 2015 | A | 4,259 | A | Jan 1, 2016 | — | Common Stock | 4,259 | 4,259 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the unit.
- F2The RSUs vest in four quarterly installments commencing on January 1, 2016 and continuing thereafter on April 1, 2016, July 1, 2016 and October 1, 2016 (each a "vesting date"), provided that the reporting person's service with the Issuer has not terminated on such vesting date. Of the quarterly vesting installments, three will vest an aggregate of 1,064 RSUs and the fourth installment will vest an aggregate of 1,067 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, in the Issuer's sole discretion.
- F3The RSUs were issued pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan.