0001209191-19-052625.txt : 20191004
0001209191-19-052625.hdr.sgml : 20191004
20191004215547
ACCESSION NUMBER: 0001209191-19-052625
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191001
FILED AS OF DATE: 20191004
DATE AS OF CHANGE: 20191004
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: 191139548
MAIL ADDRESS:
STREET 1: 802 NORTH DOUTY STREET
CITY: HANFORD
STATE: CA
ZIP: 93230
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: 106 K STREET, SUITE 300
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 106 K STREET, SUITE 300
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-10-01
0
0001477246
S&W Seed Co
SANW
0001401385
Szot Matthew K
C/O S&W SEED COMPANY
106 K STREET, SUITE 300
SACRAMENTO
CA
95814
0
1
0
0
EVP Finance & Admin and CFO
Common Stock
2019-10-01
4
M
0
688
0.00
A
79337
D
Common Stock
2019-10-01
4
M
0
1039
0.00
A
80376
D
Common Stock
2019-10-01
4
M
0
1005
0.00
A
81381
D
Common Stock
2019-10-01
4
F
0
945
2.39
D
80436
D
Restricted Stock Units
2019-10-01
4
M
0
688
0.00
D
Common Stock
688
0
D
Restricted Stock Units
2019-10-01
4
M
0
1039
0.00
D
Common Stock
1039
7274
D
Restricted Stock Units
2019-10-01
4
M
0
1005
0.00
D
Common Stock
1005
3021
D
Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2019 through the issuance of shares of common stock.
The reporting person is reporting the withholding by the Issuer of an aggregate of 945 shares of common stock that vested on October 1, 2019 pursuant to the RSU awards referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the October 1, 2019 vesting date was $2.39.
On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 688 vested on October 1, 2019.
On August 31, 2018, the reporting person was granted 12,439 RSUs, of which 1,039 vested on October 1, 2019. The remaining unvested RSUs will continue to vest in equal installments the first day of each quarter through and including July 1, 2021, subject to the reporting person's continued service with the Issuer on each respective vesting date.
On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2019. The remaining unvested RSUs will continue to vest in equal installments on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date.
/s/ Matthew K. Szot
2019-10-04