0001249155-15-000011.txt : 20150403
0001249155-15-000011.hdr.sgml : 20150403
20150403183434
ACCESSION NUMBER: 0001249155-15-000011
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150401
FILED AS OF DATE: 20150403
DATE AS OF CHANGE: 20150403
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: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Szot Matthew K
CENTRAL INDEX KEY: 0001401385
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 15752153
MAIL ADDRESS:
STREET 1: P.O. BOX 235
CITY: FIVE POINTS
STATE: CA
ZIP: 93624
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-04-01
0
0001477246
S&W Seed Co
SANW
0001401385
Szot Matthew K
7108 NORTH FRESNO STREET, SUITE 380
FRESNO
CA
93720
0
1
0
0
Executive VP and CFO
Common Stock
2015-04-01
4
M
0
4722
0
A
40401
D
Common Stock
2015-04-01
4
F
0
2438
0
D
37963
D
Common Stock
2015-04-01
4
S
0
1100
4.6591
D
36863
D
Restricted Stock Units
2015-04-01
4
M
0
4722
0
D
Common Stock
4722
47224
D
Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 100,000 RSUs that were previously reported on Table II of Form 4, and which was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013.
The reporting person is reporting the withholding by the Issuer of 2,438 shares of common stock that vested on April 1, 2015 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person on April 1, 2015.
The sales reported on this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
This transaction was executed in multiple trades at prices ranging between $4.63 and $4.69. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on April 1, 2015 was $4.50.
On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on April 1, 2015. The common stock into which such vested RSUs converted on April 1, 2015 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in 10 additional quarterly installments of 4,722 RSUs on the first day of each fiscal quarter and a final quarterly installment will vest an aggregate of 4,726 RSUs on October 1, 2017. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion.
Matthew K. Szot
2015-04-03