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