SEC Form 4 · accession 0001249155-16-000082
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mick Fleming
Director
Period of report
Oct 19, 2016
Accepted (ET)
Oct 20, 2016 · 5:19 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 | Oct 19, 2016 | M | 10,000 | $4.20 | A | 19,060 | D | |
| Common Stock | Oct 19, 2016 | F | 8,077 | $5.20 | D | 10,983 | 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 | $4.20 | Oct 19, 2016 | M | 10,000 | D | — | Oct 24, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The options vested and became exercisable in four quarterly installments over one year, commencing on January 1, 2012.