0001249155-18-000051.txt : 20180904 0001249155-18-000051.hdr.sgml : 20180904 20180904191218 ACCESSION NUMBER: 0001249155-18-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180831 FILED AS OF DATE: 20180904 DATE AS OF CHANGE: 20180904 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: 181053551 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: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 BUSINESS PHONE: 559 884 2535 MAIL ADDRESS: STREET 1: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-08-31 0 0001477246 S&W Seed Co SANW 0001560580 GARDNER DANIELSON B. 106 K STREET, SUITE 300 SACRAMENTO CA 95814 0 1 0 0 Chief Marketing & Tech Officer Restricted Stock Units 2018-08-31 4 A 0 4922 0 A 2018-10-01 Common Stock 4922 4922 D Employee Stock Options (right to buy) 3.2 2018-08-31 4 A 0 13125 0 A 2018-10-01 2028-08-31 Common Stock 13125 13125 D Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of that RSU. The closing price of the Issuer's common stock on the date of this RSU award was $3.20. The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 410 RSUs, and the 12th installment will vest an aggregate of 412 RSUs. The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. The options vest in 12 quarterly installments over three years, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,093 options, and the 12th installment will vest an aggregate of 1,102 options. /s/ Danielson B. Gardner 2018-09-04