0001249155-18-000011.txt : 20180112 0001249155-18-000011.hdr.sgml : 20180112 20180112175305 ACCESSION NUMBER: 0001249155-18-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180110 FILED AS OF DATE: 20180112 DATE AS OF CHANGE: 20180112 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: 18526784 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: 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 2018-01-10 0 0001477246 S&W Seed Co SANW 0001591550 Matina Alexander C C/O MFP INVESTORS, LLC 909 THIRD AVENUE, 33RD FLOOR NEW YORK NY 10022 1 0 0 0 Restricted Stock Unitsd 2018-01-10 4 A 0 7826 0 A 2019-01-10 2019-01-10 Common Stock 7826 7826 D Stock Option (right to buy) 4.025 2018-01-10 4 A 0 7826 0 A 2019-01-10 2028-01-10 Common Stock 7826 7826 D Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the date of this RSU was $4.025. The RSUs will vest on January 10, 2019, subject to continued service with the Issuer on the vesting date. The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. The options will vest and become exercisable on January 10, 2019, subject to continued service with the Issuer on the vesting date. Alexander C. Matina 2018-01-12