0001209191-23-058810.txt : 20231215 0001209191-23-058810.hdr.sgml : 20231215 20231215170306 ACCESSION NUMBER: 0001209191-23-058810 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231013 FILED AS OF DATE: 20231215 DATE AS OF CHANGE: 20231215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wong Mark CENTRAL INDEX KEY: 0001424445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 231491213 MAIL ADDRESS: STREET 1: BIOFUEL ENERGY CORP. STREET 2: 1600 BROADWAY, SUITE 2200 CITY: DENVER STATE: CO ZIP: 80202 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: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 BUSINESS PHONE: (720) 506-9191 MAIL ADDRESS: STREET 1: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-10-13 0 0001477246 S&W Seed Co SANW 0001424445 Wong Mark C/O S&W SEED COMPANY 2101 KEN PRATT BLVD., SUITE 201 LONGMONT CO 80501 1 0 0 0 0 Common Stock 2023-10-13 4 A 0 65727 0.00 A 372385 D Common Stock 2023-12-13 4 A 0 126653 0.00 A 499038 D Common Stock 36630 I By Starlight 4, LLLP Stock options (right to buy) 0.772 2023-10-13 4 A 0 277675 0.00 A 2033-10-12 Common Stock 277675 277675 D Represents the grant of restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in 12 quarterly installments over three years, commencing on January 1, 2024, and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2026, subject to the Reporting Person's continued service with the Issuer on each respective vesting date. Represents the grant of RSUs, each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) December 13, 2024 and (ii) the date of the Issuer's next Annual Meeting of Stockholders, in each case, subject to the Reporting Person's continued service with the Issuer on each respective vesting date. The Reporting Person is General Partner of Starlight 4, LLLP. The Reporting Person disclaims beneficial ownership of these securities except to the extent of Reporting Person's pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. The options vest in 12 quarterly installments over three years, commencing on January 1, 2024, and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2026, subject to the Reporting Person's continued service on each respective vesting date. /s/ Vanessa Baughman, Attorney-in-Fact 2023-12-15