0001249155-18-000037.txt : 20180703
0001249155-18-000037.hdr.sgml : 20180703
20180703174051
ACCESSION NUMBER: 0001249155-18-000037
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180701
FILED AS OF DATE: 20180703
DATE AS OF CHANGE: 20180703
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: 18938668
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: 106 K STREET, SUITE 300
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 106 K STREET, SUITE 300
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2018-07-01
0
0001477246
S&W Seed Co
SANW
0001401385
Szot Matthew K
106 K STREET, SUITE 300
SACRAMENTO
CA
95814
0
1
0
0
EVP Finance & Admin and CFO
Common Stock
2018-07-01
4
M
0
1940
0
A
75763
D
Common Stock
2018-07-01
4
M
0
684
0
A
76447
D
Common Stock
2018-07-01
4
M
0
1005
0
A
77452
D
Common Stock
2018-07-01
4
F
0
1221
3.25
D
76231
D
Common Stock
2018-07-02
4
S
0
1100
3.15
D
75131
D
Restricted Stock Units
2018-07-01
4
M
0
1940
0
D
2018-07-01
Common Stock
1940
0
D
Restricted Stock Units
2018-07-01
4
M
0
684
0
D
2018-07-01
Common Stock
684
3422
D
Restricted Stock Units
2018-07-01
4
M
0
1005
0
D
2018-07-01
Common Stock
1005
8046
D
Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2018 through the issuance of shares of common stock.
The reporting person is reporting the withholding by the Issuer of an aggregate of 1,221 shares of common stock that vested on July 1, 2018 pursuant to the three RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the settlement of the three RSU awards.
The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on June 29, 2018 (the last trading day before the July 1, 2018 vesting date, which fell on a weekend) was $3.25.
On July 15, 2015, the reporting person was granted 25,000 RSUs, of which the final installment of 1,940 RSUs vested on July 1, 2018.
On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date.
On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on July 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date.
/s/ Matthew K. Szot
2018-07-03