0001249155-18-000012.txt : 20180112 0001249155-18-000012.hdr.sgml : 20180112 20180112180432 ACCESSION NUMBER: 0001249155-18-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180110 FILED AS OF DATE: 20180112 DATE AS OF CHANGE: 20180112 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: 18526808 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: 802 NORTH DOUTY STREET CITY: HANFORD STATE: CA ZIP: 93230 BUSINESS PHONE: 559 884 2535 MAIL ADDRESS: STREET 1: 802 NORTH DOUTY STREET CITY: HANFORD STATE: CA ZIP: 93230 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-01-10 0 0001477246 S&W Seed Co SANW 0001389219 Straus Robert D C/O S&W SEED COMPANY 106 K STREET, SUITE 300 SACRAMENTO CA 95814 1 0 0 0 Restricted Stock Units 2018-01-10 4 A 0 6056 0 A 2019-01-10 2019-01-10 Common Stock 6056 6056 D Stock Option (right to buy) 4.025 2018-01-10 4 A 0 6056 0 A 2019-01-10 2028-01-10 Common Stock 6056 6056 D Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the date of this RSU award was $4.025. The RSUs will vest on January 10, 2019, subject to continued service with the Issuer on the vesting date. The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. The options will vest and become exercisable on January 10, 2019, subject to continued service with the Issuer on the vesting date. Robert D. Straus 2018-01-12