0001249155-17-000074.txt : 20171011
0001249155-17-000074.hdr.sgml : 20171011
20171011161837
ACCESSION NUMBER: 0001249155-17-000074
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171007
FILED AS OF DATE: 20171011
DATE AS OF CHANGE: 20171011
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GARDNER DANIELSON B.
CENTRAL INDEX KEY: 0001560580
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 171132802
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: 802 NORTH DOUTY STREET
CITY: HANFORD
STATE: CA
ZIP: 93230
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 802 NORTH DOUTY STREET
CITY: HANFORD
STATE: CA
ZIP: 93230
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2017-10-07
0
0001477246
S&W Seed Co
SANW
0001560580
GARDNER DANIELSON B.
802 NORTH DOUTY STREET
HANFORD
CA
93230
0
1
0
0
Chief Marketing & Tech Officer
Common Stock
2017-10-07
4
M
0
831
0
A
1888
D
Common Stock
2017-10-07
4
F
0
312
3.35
D
1576
D
Restricted Stock Units
2017-10-07
4
M
0
831
0
D
2017-10-07
2017-10-07
Common Stock
831
832
D
Represents the settlement of restricted stock units ("RSUs") that vested on October 7, 2017 through the issuance of shares of common stock.
The reporting person is reporting the withholding by the Issuer of an aggregate of 312 shares of common stock that vested on October 7, 2017 pursuant to the RSU award referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on October 6, 2017 (the last trading day before the October 7, 2017 vesting date, which fell on a weekend) was $3.35
On October 7, 2016, the reporting person was granted 1,663 RSUs, of which 831 vested on October 7, 2017. The remaining unvested RSUs will vest on October 7, 2018, subject to the reporting person's continued service with the Issuer on the vesting date.
Danielson B. Gardner
2017-10-11