Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Beeline Holdings, Inc.EAST · Entity 7378 | Director | June 30, 2019 | July 02, 2019 |
| Cadrenal Therapeutics, Inc.CVKD · Entity 8251 | Chief Financial Officer | December 29, 2025 | December 31, 2025 |
| INVO Fertility, Inc.IVF · Entity 8473 | Director | December 03, 2025 | December 06, 2025 |
| S&W Seed CoSANW · Entity 81242 | EVP Finance & Admin and CFO | October 05, 2021 | October 07, 2021 |
| SenesTech, Inc.SNES · Entity 8221 | Director | June 15, 2026 | June 17, 2026 |
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 June 30, 2019 · Filed July 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,179 |
Ending reported balance
After 2019-07-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-06-30 · Exercise / conversion · Acquired 1,112 · Balance 2,783 F1: The closing price of Eastside Distilling, Inc. on June 28, 2019 (the last trading day before the June 30, 2019 vesting date) was $4.50. The number of shares issued was based on that closing price. Row 2 · 2019-07-01 · Exercise / conversion · Acquired 4,396 · Balance 7,179 F2: The closing price of EAST on July 1, 2019 was $4.55. The number of shares issued was based on that closing price. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-09-30 | Direct | Not disclosed |
Reported balance
After 2019-06-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-06-30 · Exercise / conversion · Disposed Not disclosed · Balance Not disclosed F3: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. F4: On October 15, 2018, the Reporting Person was awarded $20,000 of RSUs, which vest if four quarterly installments that began on December 31, 2018 and continue thereafter on the last day of each quarter through and including September 30, 2019, subject to continued service with the Issuer on each respective vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-07-01 | Direct | Not disclosed |
Reported balance
After 2019-07-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-07-01 · Grant · Acquired Not disclosed · Balance Not disclosed F3: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. F5: On July 1, 2019, the Reporting Person was awarded $20,000 of RSUs, all of which vested immediately. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-07-01 | Direct | Not disclosed |
Reported balance
After 2019-07-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-07-01 · Exercise / conversion · Disposed Not disclosed · Balance Not disclosed F3: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. F5: On July 1, 2019, the Reporting Person was awarded $20,000 of RSUs, all of which vested immediately. |
Filing footnotes · ownership attribution and instrument terms
F1: The closing price of Eastside Distilling, Inc. on June 28, 2019 (the last trading day before the June 30, 2019 vesting date) was $4.50. The number of shares issued was based on that closing price.
F2: The closing price of EAST on July 1, 2019 was $4.55. The number of shares issued was based on that closing price.
F3: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock.
F4: On October 15, 2018, the Reporting Person was awarded $20,000 of RSUs, which vest if four quarterly installments that began on December 31, 2018 and continue thereafter on the last day of each quarter through and including September 30, 2019, subject to continued service with the Issuer on each respective vesting date.
F5: On July 1, 2019, the Reporting Person was awarded $20,000 of RSUs, all of which vested immediately.
Cadrenal Therapeutics, Inc.
Report date December 29, 2025 · Filed December 31, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-12-29 transaction · row 1
1 source rowRow 1 · 2025-12-29 · Sale · Disposed 9,933 · Balance 0 F1: Represents shares of the Issuer's common stock sold by the Reporting Person in accordance with a Rule 10b5-1 trading arrangement adopted by the Reporting Person on September 18, 2025, in multiple transactions at prices ranging from $6.83 through $7.37, inclusive, having a weighted average price as shown in column 4 of $6.97. The Reporting Person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock sold by the Reporting Person in accordance with a Rule 10b5-1 trading arrangement adopted by the Reporting Person on September 18, 2025, in multiple transactions at prices ranging from $6.83 through $7.37, inclusive, having a weighted average price as shown in column 4 of $6.97. The Reporting Person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
INVO Fertility, Inc.
Report date December 03, 2025 · Filed December 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2025-12-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-12-03 · Sale · Disposed 4 · Balance 3 Row 2 · 2025-12-04 · Other · Disposed 3 · Balance 0 F1: The Reporting Person surrendered the shares of Common Stock to the Issuer without receiving any payment or other value in return. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.08 · Expires 2035-08-26 | Direct | 5,646 |
Reported balance
Holding disclosure · report date 2025-12-03 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 5,646 F2: As adjusted for a 1 for 8 reverse split that occurred on November 28, 2025. F3: The option vests in four equal installments beginning on the first day of the calendar quarter following August 26, 2025 and on the first day of each calendar quarter thereafter until fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person surrendered the shares of Common Stock to the Issuer without receiving any payment or other value in return.
F2: As adjusted for a 1 for 8 reverse split that occurred on November 28, 2025.
F3: The option vests in four equal installments beginning on the first day of the calendar quarter following August 26, 2025 and on the first day of each calendar quarter thereafter until fully vested.
S&W Seed Co
Report date October 05, 2021 · Filed October 07, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 138,140 |
Reported balance
After 2021-10-05 transaction · row 1
1 source rowRow 1 · 2021-10-05 · Grant · Acquired 7,490 · Balance 138,140 F1: Represents restricted stock unit award that vests in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.64 · Expires 2031-10-04 | Direct | 80,000 |
Reported balance
After 2021-10-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-10-05 · Grant · Acquired 80,000 · Balance 80,000 F2: The options vest in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock unit award that vests in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date.
F2: The options vest in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date.
SenesTech, Inc.
Report date June 15, 2026 · Filed June 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.65 · Expires 2036-06-15 | Direct | 100,000 |
Reported balance
After 2026-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-15 · Grant · Acquired 100,000 · Balance 100,000 F1: Monthly over 1 year (12 equal monthly installments) |
Filing footnotes · ownership attribution and instrument terms
F1: Monthly over 1 year (12 equal monthly installments)
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 |
|---|---|---|---|---|---|---|
| April 01, 2019 Filed Apr 3, 2019 17:04 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-023277 · doc4.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,949 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 settlement of restricted stock units ("RSUs") that vested on April 1, 2019 through the issuance of shares of common stock. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 17:04 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 683 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-023277 · doc4.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,910 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 settlement of restricted stock units ("RSUs") that vested on April 1, 2019 through the issuance of shares of common stock. Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 00:16 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | Not disclosed | $0.00 | $5,000.00 |
DisclosureSEC source: 0001137638-19-000003 · primary_doc.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2019-09-30 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 · derivative.exercise_price: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on the March 31, 2019 vesting date was $5.81. F2 · derivative.exercise_date: On October 15, 2018, the Reporting Person was awarded $20,000 of RSUs, which vest in four quarterly installments beginning on December 31, 2018 and continuing thereafter the last day of each quarter through and including September 30, 2019, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| March 31, 2019 Filed Apr 3, 2019 00:16 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionCommon Stock | 861 | $0.00 | $0.00 |
DisclosureSEC source: 0001137638-19-000003 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,671 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 |
| January 02, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $1.84 | $2,019.16 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · nonDerivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,227 F3 · kind: The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: This transaction was executed in multiple trades at prices ranging from $1.83 to $1.92. The price reported in Table I reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all sales reported on this Form 4. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · derivative · entry 8 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,391 Underlying: Common Stock · 1,039 shares Expires 2021-07-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on December 31, 2018, the last trading day before the January 1 2019 vesting date, which fell on a federal holiday, was $1.81. F8 · derivative.exercise_date: On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on January 1, 2019. The remaining unvested RSUs will continue to vest in equal installments the first day of each quarter through and including July 1, 2021, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · derivative · entry 7 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,036 Underlying: Common Stock · 1,005 shares Expires 2020-07-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on December 31, 2018, the last trading day before the January 1 2019 vesting date, which fell on a federal holiday, was $1.81. F7 · derivative.exercise_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on January 1, 2019. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · derivative · entry 6 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,054 Underlying: Common Stock · 684 shares Expires 2019-10-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on December 31, 2018, the last trading day before the January 1 2019 vesting date, which fell on a federal holiday, was $1.81. F6 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on January 1, 2019. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 1,116 | $1.81 | $2,019.96 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · nonDerivative · entry 4 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,327 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,116 shares of common stock that vested on January 1, 2019 pursuant to three RSU awards referred in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of such RSU awards. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · nonDerivative · entry 3 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,443 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 settlement of restricted stock units ("RSUs") that vested on January 1, 2019 through the issuance of shares of common stock. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,404 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 settlement of restricted stock units ("RSUs") that vested on January 1, 2019 through the issuance of shares of common stock. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 16:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000006 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,399 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 settlement of restricted stock units ("RSUs") that vested on January 1, 2019 through the issuance of shares of common stock. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 23:07 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | Not disclosed | $0.00 | $5,000.00 |
DisclosureSEC source: 0001249155-19-000004 · primary_doc.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2019-09-30 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 · derivative.exercise_price: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on the December 31, 2018 vesting date was $6.18. F2 · derivative.exercise_date: On October 15, 2018, the Reporting Person was awarded $20,000 of RSUs, which vest in four quarterly installments beginning on December 31, 2018 and continuing thereafter on the last day of each quarter through and including September 30, 2019, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 23:07 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionCommon Stock | 810 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000004 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 810 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 15, 2018 Filed Oct 17, 2018 21:54 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantRestricted Stock Units · Derivative | Not disclosed | $0.00 | $20,000.00 |
DisclosureSEC source: 0001249155-18-000064 · primary_doc.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2019-09-30 F2 · derivative.exercise_price: Each restricted stock unit ("RSU") is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on the October 15, 2018 award date was $7.87. F3 · derivative.exercise_date: The RSUs will vest in four quarterly $5,000 installments (for a total of $20,000) on the last day of each quarter, beginning on December 31, 2018 and continuing through and including September 30, 2019, the exact number of shares to be issued on each vesting date to be calculated based upon the closing price of the Issuer's common stock on such date, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| October 15, 2018 Filed Oct 17, 2018 21:54 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $7.87 | $0.00 |
DisclosureSEC source: 0001249155-18-000064 · primary_doc.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2028-10-15 F1 · derivative.exercise_date: The options are immediately exercisable. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · derivative · entry 8 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,430 Underlying: Common Stock · 1,039 shares Expires 2021-07-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the October 1, 2018 vesting date was $2.69. F8 · derivative.exercise_date: On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2021, subject to the reporting person's continued service with the Issuer on each respective vesting date. F8 · derivative.expiration_date: On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2021, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · derivative · entry 7 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,041 Underlying: Common Stock · 1,005 shares Expires 2020-07-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the October 1, 2018 vesting date was $2.69. F7 · derivative.exercise_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. F7 · derivative.expiration_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Unit · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · derivative · entry 6 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,738 Underlying: Common Stock · 684 shares Expires 2019-10-01 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_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the October 1, 2018 vesting date was $2.69. F6 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. F6 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $2.46 | $2,706.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · nonDerivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,715 F4 · kind: The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 944 | $2.69 | $2,539.36 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · nonDerivative · entry 4 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,815 F3 · kind: The reporting person is reporting the withholding of an aggregate of 944 shares of common stock that vested on October 1, 2018 pursuant to the three RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of such RSU awards. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · nonDerivative · entry 3 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,759 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 settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,720 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 settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 19:19 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000061 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,715 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 settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock. F2 · balance_after: Reflects the correction of an error in the number of shares beneficially owned. On January 16, 2018, the reporting person reported the sale of 1,100 shares under his Rule 10b5-1 trading plan. Subsequently, the Form 4s filed on April 3, 2018 and July 3, 2018 inadvertently overlooked that sale in the calculation of the total shares beneficially owned after the reported transactions. All transactions were timely reported. This entry updates and corrects the total shares owned by the reporting person. Read SEC document |
| August 31, 2018 Filed Sep 4, 2018 19:00 UTC | S&W Seed Co SANW · Entity 81242 | GrantEmployee Stock Options (right to buy) · Derivative | 33,250 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001249155-18-000050 · primary_doc.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,250 Underlying: Common Stock · 33,250 shares Expires 2028-08-31 F3 · price: The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. F4 · derivative.exercise_date: The 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 to 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 2,770 options, and the 12th installment will vest an aggregate of 2,780 options. Read SEC document |
| August 31, 2018 Filed Sep 4, 2018 19:00 UTC | S&W Seed Co SANW · Entity 81242 | GrantRestricted Stock Units · Derivative | 12,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000050 · primary_doc.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,469 Underlying: Common Stock · 12,469 shares Expires not disclosed F1 · derivative.exercise_price: Each 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. F3 · price: The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. F2 · derivative.exercise_date: The 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 1,039 RSUs, and the 12th installment will vest an aggregate of 1,040 RSUs. F2 · derivative.expiration_date: The 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 1,039 RSUs, and the 12th installment will vest an aggregate of 1,040 RSUs. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $3.15 | $3,465.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · nonDerivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,131 F3 · kind: The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · derivative · entry 8 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,046 Underlying: Common Stock · 1,005 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. F4 · 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 June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25. F7 · derivative.exercise_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. F7 · derivative.expiration_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · derivative · entry 7 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,422 Underlying: Common Stock · 684 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. F4 · 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 June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25. F6 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. F6 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · derivative · entry 6 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,940 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. F4 · 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 June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25. F5 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which the final installment of 1,940 RSUs vested on July 1, 2018. F5 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which the final installment of 1,940 RSUs vested on July 1, 2018. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 1,221 | $3.25 | $3,968.25 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · nonDerivative · entry 4 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,231 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,221 shares of common stock that vested on July 1, 2018 pursuant to the three RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of the three RSU awards. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · nonDerivative · entry 3 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,452 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 settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,447 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 settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000037 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,763 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 settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock. Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 23:32 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 26,753 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001225208-18-010852 · doc4.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,753 Underlying: Common Stock · 26,753 shares Expires 2023-06-19 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the date of the Company's 2019 annual stockholder meeting will vest as of such date (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 23:32 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantRestricted Stock Units · Derivative | 13,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010852 · doc4.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,187 Underlying: Common Stock · 13,187 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 20:54 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,577 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010678 · doc4.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,577 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. F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: 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). F3 · derivative.expiration_date: 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). Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 20:54 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010678 · doc4.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Szot Family Trust Disclosed balance after: 63,051 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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · balance_after: The reporting person's previously filed report on Form 4 filed on 12/20/2017 incorrectly reported 3,086 shares as having been acquired with a "Direct" form of ownership. Read SEC document |
| May 19, 2018 Filed Dec 31, 2018 20:31 UTC Amendment | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,577 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001223203-18-000003 · primary_doc.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,577 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. F2 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F1 · date: The reporting person is amending the Form 4 originally filed to correct the transaction date. F4 · derivative.exercise_date: 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). F4 · derivative.expiration_date: 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). Read SEC document |
| May 19, 2018 Filed Dec 31, 2018 20:31 UTC Amendment | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001223203-18-000003 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Szot Family Trust Disclosed balance after: 63,051 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 · date: The reporting person is amending the Form 4 originally filed to correct the transaction date. F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F3 · balance_after: The reporting person's previously filed report on Form 4 filed on 12/20/2017 incorrectly reported 3,086 shares as having been acquired with a "Direct" form of ownership. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $3.50 | $3,850.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · nonDerivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,823 F3 · kind: The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · derivative · entry 8 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,051 Underlying: Common Stock · 1,005 shares Expires 2018-04-01 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. F4 · 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 March 29, 2018 (the last trading day before the April 1, 2018 vesting date, which fell on a weekend) was $3.60. F7 · derivative.exercise_date: On Septemer 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on April 1, 2018. The remaining unvested RUSs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. F7 · derivative.expiration_date: On Septemer 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on April 1, 2018. The remaining unvested RUSs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · derivative · entry 7 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,106 Underlying: Common Stock · 684 shares Expires 2018-04-01 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. F4 · 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 March 29, 2018 (the last trading day before the April 1, 2018 vesting date, which fell on a weekend) was $3.60. F6 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on April 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. F6 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on April 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · derivative · entry 6 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,940 Underlying: Common Stock · 1,931 shares Expires 2018-04-01 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. F4 · 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 March 29, 2018 (the last trading day before the April 1, 2018 vesting date, which fell on a weekend) was $3.60. F5 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on April 1, 2018. The remaining RSUs will vest on July 1, 2018, subject to the reporting person's continued service with the Issuer on the vesting date. F5 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on April 1, 2018. The remaining RSUs will vest on July 1, 2018, subject to the reporting person's continued service with the Issuer on the vesting date. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 1,480 | $3.60 | $5,328.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · nonDerivative · entry 4 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,923 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,480 shares of common stock that vested on April 1, 2018 pursuant to the three RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of the three RSU awards. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · nonDerivative · entry 3 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,403 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 settlement of restricted stock units ("RSUs") that vested on April 1, 2018 through the issuance of shares of common stock. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,398 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 settlement of restricted stock units ("RSUs") that vested on April 1, 2018 through the issuance of shares of common stock. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 17:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000026 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,714 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 settlement of restricted stock units ("RSUs") that vested on April 1, 2018 through the issuance of shares of common stock. Read SEC document |
| January 16, 2018 Filed Jan 16, 2018 16:08 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $4.00 | $4,400.00 |
DisclosureSEC source: 0001249155-18-000022 · primary_doc.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,683 F1 · kind: The sale reported on this Form 4 was made pursuant to a 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · primary_doc.xml · derivative · entry 7 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,056 Underlying: Common Stock · 1,005 shares Expires 2018-01-01 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. F3 · 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 December 29, 2017 (the last trading day before the January 1, 2018 vesting date, which fell on a federal holiday), was $3.90. F6 · derivative.exercise_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on January 1, 2018. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the issue on each respective vesting date. F6 · derivative.expiration_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on January 1, 2018. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the issue on each respective vesting date. 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.