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