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