Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Beeline Holdings, Inc.EAST · Entity 7378 | Director · Chairman, CEO and President · 10% owner | November 21, 2018 | November 26, 2018 |
| S&W Seed CoSANW · Entity 81242 | Director | January 10, 2019 | January 14, 2019 |
| SenesTech, Inc.SNES · Entity 8221 | Director | May 19, 2018 | December 31, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Beeline Holdings, Inc.
Report date November 21, 2018 · Filed November 26, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 157,037 |
Ending reported balance
After 2018-11-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-11-21 · Purchase · Acquired 8,000 · Balance 155,037 F1: This transaction was executed in multiple trades at prices ranging from $6.26 to $6.399. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff (the "SEC staff"), the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. Row 2 · 2018-11-23 · Purchase · Acquired 2,000 · Balance 157,037 F2: This transaction was executed in multiple trades at prices ranging from $6.24 to $6.47. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectBy Charitable Remainder Trust | 60,370 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 60,370 F3: The reporting person is a joint trustee of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Irrevocable Trust | 45,856 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 45,856 F4: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"). The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Employee Profit Sharing Plan | 238,727 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 238,727 F5: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $6.26 to $6.399. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff (the "SEC staff"), the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4.
F2: This transaction was executed in multiple trades at prices ranging from $6.24 to $6.47. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4.
F3: The reporting person is a joint trustee of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"). The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F5: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
S&W Seed Co
Report date January 10, 2019 · Filed January 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 223,278 |
Reported balance
After 2019-01-10 transaction · row 1
1 source rowRow 1 · 2019-01-10 · Exercise / conversion · Acquired 6,801 · Balance 223,278 F1: Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-01-10 | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-10 · Exercise / conversion · Disposed 6,801 · Balance 0 F3: Each 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. F4: The RSUs vested in full on January 10, 2019. |
| Common StockSEC Table I · non-derivative | IndirectBy corporation | 23,723 |
Reported balance
Holding disclosure · report date 2019-01-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 23,723 F2: Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock.
F2: Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
F3: Each 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.
F4: The RSUs vested in full on January 10, 2019.
SenesTech, Inc.
Report date May 19, 2018 · Filed December 31, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 290,263 |
Reported balance
After 2018-05-19 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-05-19 · Exercise / conversion · Acquired 3,577 · Balance 290,263 F1: The reporting person is amending the Form 4 originally filed to correct the transaction date. F2: The restricted stock units are settled for shares of common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-05-19 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2018-05-19 · Exercise / conversion · Disposed 3,577 · Balance 0 F2: The restricted stock units are settled for shares of common stock on a one-for-one basis. F1: The reporting person is amending the Form 4 originally filed to correct the transaction date. F3: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date) |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is amending the Form 4 originally filed to correct the transaction date.
F2: The restricted stock units are settled for shares of common stock on a one-for-one basis.
F3: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date)
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 13, 2016 Filed Dec 15, 2016 18:15 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 5,000 | $8.00 | $40,000.00 |
DisclosureSEC source: 0001144204-16-139808 · v455114_4.xml · nonDerivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Paxton Lee Shoen 1998 Education Trust Disclosed balance after: 7,000 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 18:15 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 32,500 | $8.00 | $260,000.00 |
DisclosureSEC source: 0001144204-16-139808 · v455114_4.xml · nonDerivative · entry 4 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Glenbrook Capital LP, Advisor Disclosed balance after: 392,500 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 18:15 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 5,000 | $8.00 | $40,000.00 |
DisclosureSEC source: 0001144204-16-139808 · v455114_4.xml · nonDerivative · entry 3 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Lindsay Ann Wickersham 1999 Trust Disclosed balance after: 50,000 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 18:15 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 10,000 | $8.00 | $80,000.00 |
DisclosureSEC source: 0001144204-16-139808 · v455114_4.xml · nonDerivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of FBO GTW PC Employee Profit Sharing Plan Disclosed balance after: 33,000 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 18:15 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 10,000 | $8.00 | $80,000.00 |
DisclosureSEC source: 0001144204-16-139808 · v455114_4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,500 Read SEC document |
| November 23, 2016 Filed Nov 25, 2016 19:33 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 10,800 | $4.72 | $51,025.68 |
DisclosureSEC source: 0001249155-16-000086 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 F3 · price: This transaction was executed in multiple trades at prices ranging from $4.70 to $4.80 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4. F2 · ownership.nature: Owned directly by The Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Trust"), a trust for the benefit of the reporting person's minor daughter. The reporting person is the trustee of the Trust, and he disclaims beneficial ownership of the securities owned by the Trust. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| November 23, 2016 Filed Nov 25, 2016 20:02 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 37,500 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001249155-16-000087 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By charitable remainder trust Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2019-11-23 F6 · price: The warrants were issued for no additional consideration in connection with the purchase by the reporting person of a $75,000 promissory note. F5 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in beneficial ownership of more than 9.99% of the Issuer's outstanding shares by the warrantholder and his affiliates. The blocker may only be amended by written consent of both the Issuer and the holder. Since the reporting person's beneficial ownership percentage is over 9.99%, the warrants are currently not exercisable. The warrants will not be exercisable until the reporting person's beneficial ownership percentage falls below 9.99% (taking into account exercise of the warrants), or the blocker is waived by the mutual consent of the reporting person and the Issuer. F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 23, 2016 Filed Nov 25, 2016 20:02 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 12,500 | $0.60 | $7,500.00 |
DisclosureSEC source: 0001249155-16-000087 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By charitable remainder trust Disclosed balance after: 31,167 F1 · balance_after: Reflects a 20-for-1 reverse stock split effective October 18, 2016. F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 22, 2016 Filed Nov 25, 2016 19:33 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 23,597 | $4.87 | $114,910.31 |
DisclosureSEC source: 0001249155-16-000086 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 10,800 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.75 to $5.05 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4. F2 · ownership.nature: Owned directly by The Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Trust"), a trust for the benefit of the reporting person's minor daughter. The reporting person is the trustee of the Trust, and he disclaims beneficial ownership of the securities owned by the Trust. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 16:24 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionStock options (right to buy) · Derivative | 25,000 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001249155-16-000083 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2016-10-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Options vested and became exercisable in four quarterly installments over one year, commencing on January 1, 2012. Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 16:24 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 19,811 | $5.30 | $104,998.30 |
DisclosureSEC source: 0001249155-16-000083 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,285 Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 16:24 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 25,000 | $4.20 | $105,000.00 |
DisclosureSEC source: 0001249155-16-000083 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,096 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 18, 2016 Filed Oct 20, 2016 17:09 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionStock options (right to buy) · Derivative | 25,000 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001249155-16-000081 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2016-10-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Options vested and became exercisable in four quarterly installments over one year, commencing on January 1, 2012. Read SEC document |
| October 18, 2016 Filed Oct 20, 2016 17:09 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 20,388 | $5.15 | $104,998.20 |
DisclosureSEC source: 0001249155-16-000081 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,096 Read SEC document |
| October 18, 2016 Filed Oct 20, 2016 17:09 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 25,000 | $4.20 | $105,000.00 |
DisclosureSEC source: 0001249155-16-000081 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,484 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 16:40 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | GrantNon-Qualified Option (right to buy) · Derivative | 700,000 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001615774-16-007660 · s104340_form4.xml · derivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,000 Underlying: Common Stock · 700,000 shares Expires 2026-10-13 F5 · price: The options were issued pursuant to the Issuer's 2016 Equity Incentive Plan. F4 · derivative.exercise_date: This non-qualified stock option was granted pursuant to the Eastside Distilling, Inc. 2016 Equity Incentive Plan. 100,000 Non-Qualified Options ("Options") vest on the date first listed. An additional 100,000 Options will vest monthly until a total of 700,000 Options have vested. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 17:38 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-16-000072 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,892 Underlying: Common Stock · 4,222 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on September 30, 2016 (the last trading date before October 1, 2016, which fell on a weekend) was $5.10. F7 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on October 1, 2016. The remaining unvested RSUs will continue to vest in three additional quarterly installments of 4,222 RSUs on the first day of each fiscal quarter and a final quarterly installment will vest an aggregate of 4,226 RSUs on October 1, 2017, subject to the reporting person's continued service with the Issuer through the vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion. F7 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on October 1, 2016. The remaining unvested RSUs will continue to vest in three additional quarterly installments of 4,222 RSUs on the first day of each fiscal quarter and a final quarterly installment will vest an aggregate of 4,226 RSUs on October 1, 2017, subject to the reporting person's continued service with the Issuer through the vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 17:38 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-16-000072 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,484 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 80,000 RSUs that were previously reported on Table II of Form 4, and which was filed with the Securities and Exchange Commission on March 19, 2013. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 21:12 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 500,000 | $0.03 | $15,000.00 |
DisclosureSEC source: 0001249155-16-000069 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 6,343,099 F1 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.