SEC Form 4 · accession 0001249155-17-000051
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Wong
Officer — President and CEO · Director
Period of report
Jun 19, 2017
Accepted (ET)
Jul 7, 2017 · 4:28 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $3.85 | Jun 19, 2017 | A | 150,000 | A | Jun 30, 2017 | Jun 19, 2027 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1The options will vest and become exercisable in 36 monthly installments beginning on June 30, 2017 and continuing on the last day of each subsequent month through and including May 31, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date.