0001249155-16-000076.txt : 20161007
0001249155-16-000076.hdr.sgml : 20161007
20161007182104
ACCESSION NUMBER: 0001249155-16-000076
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161005
FILED AS OF DATE: 20161007
DATE AS OF CHANGE: 20161007
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: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
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: 161928867
MAIL ADDRESS:
STREET 1: P.O. BOX 235
CITY: FIVE POINTS
STATE: CA
ZIP: 93624
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2016-10-05
0
0001477246
S&W Seed Co
SANW
0001401385
Szot Matthew K
7108 FRESNO STREET, SUITE 380
FRESNO
CA
93720
0
1
0
0
EVP Finance & Admin and CFO
Restricted Stock Units
2016-10-05
4
A
0
8210
0
A
Common Stock
8210
8210
D
Employee Stock Option (right to buy)
4.86
2016-10-05
4
A
0
19851
0
A
2017-01-01
2026-10-05
Common Stock
19851
19851
D
Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the unit. The closing price of the Issuer's common stock on the date of this RSU award was $4.86.
The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on January 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2019, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 684 RSUs, and the 12th installment will vest an aggregate of 686 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, in the Issuer's sole discretion.
The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan.
The options vest in 12 quarterly installments over three years, commencing on January 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter to and including October 1, 2019, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,654 options, and the 12th installment will vest an aggregate of 1,657 options.
Matthew K. Szot
2016-10-07