SEC Form 4 · accession 0001249155-19-000009
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Fischhoff
Director
Period of report
Jan 10, 2019
Accepted (ET)
Jan 14, 2019 · 4:34 pm EST
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 | Jan 10, 2019 | M | 6,708 | $0.00 | A | 12,155 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Jan 10, 2019 | M | 6,708 | D | Jan 10, 2019 | Jan 10, 2019 | Common Stock | 6,708 | 0 | D |
Explanation of responses
- F1Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock.
- F2Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the January 10, 2019 vesting date was $2.00.
- F3The RSUs vested in full on January 10, 2019.