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