SEC Form 4 · accession 0001249155-18-000052

S&W Seed Co · SANW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & CEO · Director

Period of report

Aug 31, 2018

Accepted (ET)

Sep 5, 2018 · 6:09 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F1,F2	—	Aug 31, 2018	A	37,500	A	Oct 1, 2018	—	Common Stock	37,500	37,500	D
Employee Stock Options (right to buy)^F3,F4	$3.20	Aug 31, 2018	A	100,000	A	Oct 1, 2018	Aug 31, 2028	Common Stock	100,000	100,000	D

F1Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of that RSU. The closing price of the Issuer's common stock on the date of this RSU award was $3.20.
F2The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 8,333 RSUs, and the 12th installment will vest an aggregate of 8,337 RSUs.
F3The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan.
F4The options vest in 12 quarterly installments over three years, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. A total of 3,125 options will vest at each respective vesting date.