0001209191-20-053850.txt : 20201005 0001209191-20-053850.hdr.sgml : 20201005 20201005180805 ACCESSION NUMBER: 0001209191-20-053850 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201001 FILED AS OF DATE: 20201005 DATE AS OF CHANGE: 20201005 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: 201224860 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 2020-10-01 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 2020-10-01 4 A 0 15919 0.00 A 135636 D Common Stock 2020-10-01 4 M 0 1039 0.00 A 136675 D Common Stock 2020-10-01 4 F 0 1397 2.41 D 135278 D Stock options (right to buy) 2.41 2020-10-01 4 A 0 150000 0.00 A 2030-10-01 Common Stock 150000 150000 D Restricted Stock Units 2020-10-01 4 M 0 1039 0.00 D Common Stock 1039 3118 D The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 1/12th of the shares subject to the RSUs will vest on January 1, 2021, and the remainder will vest in eleven equal quarterly installments, subject to continued service with the Issuer on each respective vesting date. Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2020 through the issuance of shares of common stock. The reporting person is reporting the withholding by the Issuer of an aggregate of 1,397 shares of common stock that vested on October 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. The options vest in 12 quarterly installments over three years, commencing on January 1, 2021 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2023, subject to continued service with the Issuer on each respective vesting date. 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, 2020 vesting date was $2.41. On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on October 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. /s/ Matthew K. Szot 2020-10-05