0001415889-24-018948.txt : 20240702 0001415889-24-018948.hdr.sgml : 20240702 20240702170012 ACCESSION NUMBER: 0001415889-24-018948 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240701 FILED AS OF DATE: 20240702 DATE AS OF CHANGE: 20240702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harvey Mark James CENTRAL INDEX KEY: 0001573791 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 241096686 MAIL ADDRESS: STREET 1: PARA WATTA STREET 2: 60 MILAN TERRACE CITY: STIRLING SA STATE: C3 ZIP: 5052 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: S&W Seed Co CENTRAL INDEX KEY: 0001477246 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] ORGANIZATION NAME: 08 Industrial Applications and Services 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 form4-07022024_050709.xml X0508 4 2024-07-01 0001477246 S&W Seed Co SANW 0001573791 Harvey Mark James C/O S&W SEED COMPANY 210 KEN PRATT BLVD., SUITE 201 LONGMONT CO 80501 true false false false 0 Common Stock 2024-07-01 4 A 0 99675 0 A 118410 D Common Stock 220666 I By retirement fund Represents the grant of restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest on the earlier of (i) December 13, 2024 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. The total holdings is reduced by 8,570 shares which shares were transferred to the Reporting Person's retirement fund on December 22, 2017. The reduction was inadvertently omitted from prior Form 4s. These indirect holdings were inadvertently omitted from certain prior Form 4s and the total now includes 8,570 shares transferred from the Reporting Person on December 22, 2017. These shares are owned directly by The Harvey Superannuation Fund, a retirement fund directed by the reporting person under which he is a beneficiary. /s/ Vanessa Baughman, Attorney-in-Fact 2024-07-02 EX-24 2 ex24-07022024_050709.htm ex24-07022024_050709.htm



POWER OF ATTORNEY

Know all, by these presents, that the undersigned hereby constitutes and appoints Jarad Giese and Vanessa Baughman of S&W Seed Company (the “Company”), signing individually, as the undersigned’s true and lawful attorney-in fact and agent to:

(1) execute for and on behalf of the undersigned, an officer, director or holder of 10% of more of a registered class of securities of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and the rules thereunder;

(2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and timely file such forms or amendments with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that each of the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorney-in-fact or (c) until such attorney-in-fact shall no longer be employed by the Company.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 29th day of May, 2023.

/s/ Mark Harvey

NAME:  Mark J. Harvey