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