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