0001209191-20-065238.txt : 20201228 0001209191-20-065238.hdr.sgml : 20201228 20201228175827 ACCESSION NUMBER: 0001209191-20-065238 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201223 FILED AS OF DATE: 20201228 DATE AS OF CHANGE: 20201228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Matina Alexander C CENTRAL INDEX KEY: 0001591550 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 201419437 MAIL ADDRESS: STREET 1: C/O MFP INVESTORS, LLC STREET 2: 667 MADISON AVE, 25TH FL CITY: NEW YORK STATE: NY ZIP: 10065 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 X0306 4 2020-12-23 0 0001477246 S&W Seed Co SANW 0001591550 Matina Alexander C C/O MFP INVESTORS, LLC 909 THIRD AVE, 33RD FLOOR NEW YORK CITY NY 10022 1 0 0 0 Common Stock 2020-12-23 4 A 0 27651 0.00 A 89973 D The shares being reported are being issued pursuant to restricted stock units ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. The RSU will vest on the earlier of (i) December 23, 2021 and (ii) the date of the Issuer's next Annual Meeting of Stockholders, in each case, subject to the Reporting Person's continuous service on such date. /s/ Matthew Szot, Attorney-in-Fact 2020-12-28