SEC Form 4 · accession 0001249155-18-000045
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan D Willits
Director
Period of report
Aug 9, 2018
Accepted (ET)
Aug 13, 2018 · 4:17 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Aug 9, 2018 | A | 4,148 | A | Jan 10, 2019 | Jan 10, 2019 | Common Stock | 4,148 | 4,148 | D |
| Stock Options (right to buy)F3,F4 | $3.30 | Aug 9, 2018 | A | 4,148 | A | Jan 10, 2019 | Jan 10, 2028 | Common Stock | 4,148 | 4,148 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the date of this RSU award was $3.30.
- F2The RSUs will vest on January 10, 2019, subject to continued service with the Issuer on the vesting date.
- F3The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan.
- F4The options will vest and become exercisable on January 10, 2019, subject to continued service with the Issuer on the vesting date.