SEC Form 4 · accession 0001249155-19-000013
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
Jan 10, 2019
Accepted (ET)
Jan 14, 2019 · 5:53 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 | 4,148 | $0.00 | A | 4,148 | 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 | 4,148 | D | Jan 10, 2019 | Jan 10, 2019 | Common Stock | 4,148 | 0 | D |
Explanation of responses
- F1Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of common stock.
- F2Each 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 January 10, 2019 vesting date was $2.00.
- F3The RSUs vested in full on January 10, 2019.