0001249155-18-000050.txt : 20180904 0001249155-18-000050.hdr.sgml : 20180904 20180904190022 ACCESSION NUMBER: 0001249155-18-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180831 FILED AS OF DATE: 20180904 DATE AS OF CHANGE: 20180904 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: 181053517 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 2018-08-31 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 Restricted Stock Units 2018-08-31 4 A 0 12469 0 A 2018-10-01 Common Stock 12469 12469 D Employee Stock Options (right to buy) 3.2 2018-08-31 4 A 0 33250 0 A 2018-10-01 2028-08-31 Common Stock 33250 33250 D Each 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 $3.20. The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,039 RSUs, and the 12th installment will vest an aggregate of 1,040 RSUs. 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, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter to and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 2,770 options, and the 12th installment will vest an aggregate of 2,780 options. /s/ Matthew K. Szot 2018-09-04