0001592747-14-000065.txt : 20141003 0001592747-14-000065.hdr.sgml : 20141003 20141003164514 ACCESSION NUMBER: 0001592747-14-000065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141001 FILED AS OF DATE: 20141003 DATE AS OF CHANGE: 20141003 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: 141140274 MAIL ADDRESS: STREET 1: P.O. BOX 235 CITY: FIVE POINTS STATE: CA ZIP: 93624 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-10-01 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 2014-10-01 4 M 0 4722 0 A 93099 D Common Stock 2014-10-01 4 F 0 2156 0 D 90943 D Common Stock 2014-10-01 4 S 0 1181 4.1098 D 89762 D Restricted Stock Units 2014-10-01 4 M 0 4722 0 D Common Stock 4722 56668 D Represents the conversion upon vesting of restricted stock units ("RSUs") into shares of common stock. On March 16, 2013, the Reporting Person was granted 100,000 RSUs that were previously reported in Table II of Form 4, which was filed with the Securities and Exchange Commission on March 19, 2013. The Reporting Person is reporting the withholding by the Issuer of 2,156 shares of common stock that vested on October 1, 2014, 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 October 1, 2014. These sales were made pursuant to a Rule 10b5-1 predefined trading plan enacted for tax and planning purposes. 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 October 1, 2014. The number of shares of common stock into which such vested RSUs converted on October 1, 2014 is reported in Table I of this Form 4. The remaining unvested RSUs will continue to vest in 13 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. Mark S. Grewal 2014-10-03