0001200876-15-000007.txt : 20150105 0001200876-15-000007.hdr.sgml : 20150105 20150105204138 ACCESSION NUMBER: 0001200876-15-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150101 FILED AS OF DATE: 20150105 DATE AS OF CHANGE: 20150105 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: 25552 SOUTH BUTTE AVENUE CITY: FIVE POINTS STATE: CA ZIP: 93624 BUSINESS PHONE: 559 884 2535 MAIL ADDRESS: STREET 1: P.O. BOX 235 CITY: FIVE POINTS STATE: CA ZIP: 93624 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREWAL MARK S CENTRAL INDEX KEY: 0001488713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 15507892 MAIL ADDRESS: STREET 1: P.O. BOX 235 CITY: FIVE POINTS STATE: CA ZIP: 93624 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-01-01 0 0001477246 S&W Seed Co SANW 0001488713 GREWAL MARK S P.O. BOX 235 FIVE POINTS CA 93624 1 1 0 0 President and CEO Common Stock 2015-01-01 4 M 0 4722 0 A 94484 D Common Stock 2015-01-01 4 F 0 2496 3.79 D 91988 D Common Stock 2015-01-02 4 S 0 1181 3.9034 D 90807 D Restricted Stock Units 2015-01-01 4 M 0 4722 0 D Common Stock, $0.001 par value 4722 51946 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 on March 19, 2013. The reporting person is reporting the withholding by the Issuer of 2,496 shares of common stock that vested on January 1, 2015, but which 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 as of January 1, 2015. The sales reported in this Form 4 were affected pursuant to a 10b5-1 trading plan adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $3.90 to $3.93. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission 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 the Issuer's common stock. On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on January 1, 2015. The common stock into which such vested RSUs converted on January 1, 2015 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in 11 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, subject to the reporting person's continued service with the Issuer through the vesting date. 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. /s/ Mark S. Grewal 2015-01-05