0001209191-20-007234.txt : 20200206 0001209191-20-007234.hdr.sgml : 20200206 20200206173353 ACCESSION NUMBER: 0001209191-20-007234 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200204 FILED AS OF DATE: 20200206 DATE AS OF CHANGE: 20200206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Straus Robert D CENTRAL INDEX KEY: 0001389219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 20583814 MAIL ADDRESS: STREET 1: 230 EAST 44TH ST APT 9C CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: S&W Seed Co CENTRAL INDEX KEY: 0001477246 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 271275784 STATE OF INCORPORATION: NV FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 BUSINESS PHONE: 559 884 2535 MAIL ADDRESS: STREET 1: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-04 0 0001477246 S&W Seed Co SANW 0001389219 Straus Robert D C/O S&W SEED COMPANY 210 KEN PRATT BLVD., SUITE 201 LONGMONT CO 80501 1 0 0 0 Common Stock 2020-02-04 4 A 0 28935 0.00 A 46977 D The shares being reported are being issued pursuant to restricted stock units ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. The RSU will vest on the earlier of (i) January 15, 2021 and (ii) the date of the Issuer's annual meeting of stockholders for the fiscal year ending June 30, 2021, in each case, subject to the Reporting Person's Continuous Service on such date. /s/ Matthew Szot, Attorney-in-Fact 2020-02-04