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