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 |
|---|---|---|---|---|---|---|
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · 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: 4,790 Underlying: Common Stock · 684 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. F5 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on January 1, 2018. The remaining unvested RSUs will continue to vest 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. F5 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on January 1, 2018. The remaining unvested RSUs will continue to vest 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, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · primary_doc.xml · derivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,871 Underlying: Common Stock · 1,931 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. F4 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 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, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. F4 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 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, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 1,589 | $3.90 | $6,197.10 |
DisclosureSEC source: 0001249155-18-000001 · 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: 72,783 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,589 shares of common stock that vested on January 1, 2018 pursuant to the three RSUs 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 RSU awards. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · 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: 74,372 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, 2018 through the issuance of shares of common stock. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · 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: 73,367 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, 2018 through the issuance of shares of common stock. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 15:12 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000001 · 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: 72,683 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, 2018 through the issuance of shares of common stock. Read SEC document |
| December 22, 2017 Filed Dec 26, 2017 16:57 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionSubscription Rights (right to buy) · Derivative | 6,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001249155-17-000087 · 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: 0 Underlying: Common Stock · 6,000 shares Expires 2017-12-20 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 |
| December 22, 2017 Filed Dec 26, 2017 16:57 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 6,000 | $3.50 | $21,000.00 |
DisclosureSEC source: 0001249155-17-000087 · 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: 70,752 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: Purchased pursuant to the exercise of subscription rights received in the Issuer's rights offering that commenced on November 29, 2017 and closed on December 22, 2017. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 01:08 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,086 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018974 · doc4.xml · derivative · entry 3 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,086 shares Expires 2017-12-19 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: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 01:08 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018974 · doc4.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 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. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 01:08 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantCommon Stock | 22,388 | $0.67 | $14,999.96 |
DisclosureSEC source: 0001225208-17-018974 · doc4.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Szot Family Trust Disclosed balance after: 56,388 F2 · price: These shares were issued to the Reporting Person in lieu of fees for services as a Board member of $15,000, pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $3.11 | $3,415.50 |
DisclosureSEC source: 0001249155-17-000069 · primary_doc.xml · nonDerivative · entry 6 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,752 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 $3.10 to $3.15. The price reported above reflects the weighted average sale 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 transactions reported on this Form 4. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · primary_doc.xml · derivative · entry 10 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,061 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. 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 September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. F9 · derivative.exercise_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2017. 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 Issuer on each respective vesting date. F9 · derivative.expiration_date: On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2017. 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 Issuer on each respective vesting date. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · primary_doc.xml · derivative · entry 9 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,474 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. 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 September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. F8 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on October 1, 2017. The remaining unvested RSUs will continue to vest 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. F8 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on October 1, 2017. The remaining unvested RSUs will continue to vest 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, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 5,802 Underlying: Common Stock · 1,931 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. 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 September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. F7 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on October 1, 2017. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. F7 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on October 1, 2017. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,726 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 0 Underlying: Common Stock · 4,726 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. 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 September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. F6 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,726 vested on October 1, 2017. This is the final vesting installment for this RSU award. F6 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,726 vested on October 1, 2017. This is the final vesting installment for this RSU award. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 3,137 | $3.15 | $9,881.55 |
DisclosureSEC source: 0001249155-17-000069 · 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: 65,852 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 3,137 shares of common stock that vested on October 1, 2017 pursuant to the four 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 four RSU awards. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 68,989 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, 2017 through the issuance of common stock. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 67,984 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, 2017 through the issuance of common stock. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 67,300 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, 2017 through the issuance of common stock. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 18:10 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,726 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000069 · 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: 65,369 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, 2017 through the issuance of common stock. Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 16:21 UTC | S&W Seed Co SANW · Entity 81242 | GrantEmployee Stock Option (right to buy) · Derivative | 29,687 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001249155-17-000066 · 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: 29,687 Underlying: Common Stock · 29,687 shares Expires 2027-09-18 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, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter to and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 2,473 options, and the 12th installment will vest an aggregate of 2,484 options. Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 16:21 UTC | S&W Seed Co SANW · Entity 81242 | GrantRestricted Stock Units · Derivative | 12,066 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000066 · 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: 12,066 Underlying: Common Stock · 12,066 shares Expires not disclosed F1 · derivative.exercise_price: East 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 $3.10. 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, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,005 RSUs, and the 12th installment will vest an aggregate of 1,011 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, in the Issuer's sole discretion. F2 · derivative.expiration_date: The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,005 RSUs, and the 12th installment will vest an aggregate of 1,011 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, in the Issuer's sole discretion. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $4.05 | $4,455.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 60,643 F5 · kind: The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 6,159 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. 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 June 30, 2017 (the last trading day before the July 1, 2017 vesting date, which fell on a weekend) was $4.15. F9 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest 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. F9 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest 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, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 7,733 Underlying: Common Stock · 1,931 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 June 30, 2017 (the last trading day before the July 1, 2017 vesting date, which fell on a weekend) was $4.15. F8 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on July 1, 2017. The common stock into which such vested restricted stock units converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. F8 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on July 1, 2017. The common stock into which such vested restricted stock units converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 4,726 Underlying: Common Stock · 4,722 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 June 30, 2017 (the last trading day before the July 1, 2017 vesting date, which fell on a weekend) was $4.15. F7 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will vest on October 1, 2017, subject to the reporting person's continued service with the Issuer through the vesting date. F7 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will vest on October 1, 2017, subject to the reporting person's continued service with the Issuer through the vesting date. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 2,758 | $4.15 | $11,445.70 |
DisclosureSEC source: 0001249155-17-000046 · 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: 61,743 F4 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 2,758 shares of common stock that vested on July 1, 2017 pursuant to the 2013 RSU grant, the 2015 RSU grant and the 2016 RSU grant, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person as of July 1, 2017. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 64,501 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 8,210 RSUs (the "2016 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on October 7, 2016. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 63,817 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 15, 2015, the reporting person was granted 25,000 RSUs (the "2015 RUS grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on July 17, 2015. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:30 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000046 · 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: 61,886 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 100,000 RSUs (the "2013 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| May 19, 2017 Filed May 24, 2017 22:56 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000499 · doc4_4732.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 22:56 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000499 · doc4_4732.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017, which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| April 03, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $4.97 | $5,462.49 |
DisclosureSEC source: 0001249155-17-000027 · 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: 57,164 F6 · kind: The sales reported on this Form 4 were made pursuant to a Rule 105-1 trading plan adopted by the reporting person. F7 · price: This transaction was executed in multiple trades at prices ranging from $4.95 to $5.00. 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. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 685 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 6,842 Underlying: Common Stock · 685 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. F8 · 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 31, 2017 (the last trading day before the April 1, 2017 vesting date, which fell on a weekend) was $4.95. F11 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vesting on April 1, 2017, with an additional one share issued to correct a shortfall in connection with the January 1, 2017 vesting. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest 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. 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. F11 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vesting on April 1, 2017, with an additional one share issued to correct a shortfall in connection with the January 1, 2017 vesting. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest 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. 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 |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 9,664 Underlying: Common Stock · 1,931 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. F8 · 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 31, 2017 (the last trading day before the April 1, 2017 vesting date, which fell on a weekend) was $4.95. F10 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on April 1, 2017. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer at each respective 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. F10 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on April 1, 2017. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer at each respective 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 |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 9,448 Underlying: Common Stock · 4,722 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. F8 · 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 31, 2017 (the last trading day before the April 1, 2017 vesting date, which fell on a weekend) was $4.95. F9 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on April 1, 2017. The remaining unvested RSUs will continue to vest in 1 additional quarterly installment of 4,722 RSUs on July 1, 2017 and a final quarterly installment will vest an aggregate of 4,726 RSUs on October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective 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. F9 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on April 1, 2017. The remaining unvested RSUs will continue to vest in 1 additional quarterly installment of 4,722 RSUs on July 1, 2017 and a final quarterly installment will vest an aggregate of 4,726 RSUs on October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective 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 |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 3,075 | $4.95 | $15,221.25 |
DisclosureSEC source: 0001249155-17-000027 · 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: 58,264 F5 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 3,075 shares of common stock that vested on April 1, 2017 pursuant to the 2013 RSU grant, the 2015 RSU grant and the 2016 RSU grant, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person as of April 1, 2017. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 685 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 61,339 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 7,562 RSUs (the "2016 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on October 7, 2016. F4 · shares: Includes one additional share that was inadvertently not issued in connection with the January 1, 2017 vesting. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 60,654 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 15, 2015, the reporting person was granted 25,000 RSUs (the "2015 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on July 17, 2015. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 19:56 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000027 · 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: 58,723 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 100,000 RSUs (the "2013 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| January 11, 2017 Filed Jan 11, 2017 17:00 UTC | S&W Seed Co SANW · Entity 81242 | SaleCommon Stock | 1,100 | $4.75 | $5,225.00 |
DisclosureSEC source: 0001249155-17-000010 · 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: 54,001 F1 · kind: The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 683 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · 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: 7,527 Underlying: Common Stock · 683 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. 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 30, 2016 was $4.60. F8 · derivative.exercise_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 683 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date. F8 · derivative.expiration_date: On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 683 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal 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, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · 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: 11,595 Underlying: Common Stock · 1,931 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. 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 30, 2016 was $4.60. F7 · derivative.exercise_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments through and including July 1, 2018, subject to the reporting person's continued service with the Issuer on each respective vesting date. F7 · derivative.expiration_date: On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments through and including July 1, 2018, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · primary_doc.xml · derivative · entry 5 Szot Matthew K · CIK 0001401385 · EVP Finance & Admin and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,170 Underlying: Common Stock · 4,722 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. 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 30, 2016 was $4.60. F6 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. F6 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on January 1, 2017. The common stock into which such vested RSUs converted on January 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Tax withholdingCommon Stock | 3,212 | $4.60 | $14,775.20 |
DisclosureSEC source: 0001249155-17-000004 · 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: 55,101 F4 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 3,212 shares of common stock that vested on January 1, 2017 pursuant to the 2013 RSU grant, the 2015 RSU grant and the 216 RSU grant, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person as of January 1, 2017. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 683 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · 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: 58,313 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 8,210 RSUs (the "2016 RSU grant") that was previously reported on Table II of Form 4, which form was filed with the SEC on October 7, 2016. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · 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: 57,630 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 15, 2015, the reporting person was granted 25,000 RSUs (the "2015 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on July 17, 2015. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 18:48 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000004 · 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: 55,699 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 100,000 RSUs (the "2013 RSU grant") that was previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| December 19, 2016 Filed Dec 22, 2016 02:07 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001144204-16-140797 · v455545_4.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2021-12-19 F3 · derivative.exercise_date: The option becomes vested and exercisable in four equal quarterly installments, beginning on January 1, 2017. 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.