0001209191-20-041099.txt : 20200706 0001209191-20-041099.hdr.sgml : 20200706 20200706174904 ACCESSION NUMBER: 0001209191-20-041099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200701 FILED AS OF DATE: 20200706 DATE AS OF CHANGE: 20200706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Szot Matthew K CENTRAL INDEX KEY: 0001401385 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 201014470 MAIL ADDRESS: STREET 1: 802 NORTH DOUTY STREET CITY: HANFORD STATE: CA ZIP: 93230 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: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 BUSINESS PHONE: (720) 506-9191 MAIL ADDRESS: STREET 1: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-07-01 0 0001477246 S&W Seed Co SANW 0001401385 Szot Matthew K C/O S&W SEED COMPANY 2101 KEN PRATT BLVD., SUITE 201 LONGMONT CO 80501 0 1 0 0 EVP Finance & Admin and CFO Common Stock 2020-07-01 4 M 0 1039 0.00 A 120408 D Common Stock 2020-07-01 4 M 0 1010 0.00 A 121418 D Common Stock 2020-07-01 4 F 0 1701 2.36 D 119717 D Restricted Stock Units 2020-07-01 4 M 0 1039 0.00 D Common Stock 1039 4157 D Restricted Stock Units 2020-07-01 4 M 0 1010 0.00 D Common Stock 1010 0 D Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2020 through the issuance of shares of common stock. The reporting person is reporting the withholding by the Issuer of an aggregate of 1,701 shares of common stock that vested on July 1, 2020 pursuant to the RSU award referred to in Table II and an RSU award granted on October 14, 2019, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award. Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the July 1, 2020 vesting date was $2.36. On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on July 1, 2020. 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. On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,010 vested on July 1,2020. 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. /s/ Matthew Szot 2020-07-06