0001249155-17-000066.txt : 20170920 0001249155-17-000066.hdr.sgml : 20170920 20170920162101 ACCESSION NUMBER: 0001249155-17-000066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170918 FILED AS OF DATE: 20170920 DATE AS OF CHANGE: 20170920 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: 171094224 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: 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 2017-09-18 0 0001477246 S&W Seed Co SANW 0001401385 Szot Matthew K 802 NORTH DOUTY STREET HANFORD CA 93230 0 1 0 0 EVP Finance & Admin and CFO Restricted Stock Units 2017-09-18 4 A 0 12066 0 A 2017-10-01 Common Stock 12066 12066 D Employee Stock Option (right to buy) 3.1 2017-09-18 4 A 0 29687 0 A 2017-10-01 2027-09-18 Common Stock 29687 29687 D East restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of that RSU. The closing price of the Issuer's common stock on the date of this RSU award was $3.10. The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,005 RSUs, and the 12th installment will vest an aggregate of 1,011 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in 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 October 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter to and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 2,473 options, and the 12th installment will vest an aggregate of 2,484 options. Matthew K. Szot 2017-09-20