0001209191-19-053307.txt : 20191016 0001209191-19-053307.hdr.sgml : 20191016 20191016171719 ACCESSION NUMBER: 0001209191-19-053307 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191014 FILED AS OF DATE: 20191016 DATE AS OF CHANGE: 20191016 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: 191153399 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 2019-10-14 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 2019-10-14 4 A 0 35970 0.00 A 116406 D Stock options (right to buy) 2.37 2019-10-14 4 A 0 97915 0.00 A 2029-10-13 Common Stock 97915 97915 D Stock options (right to buy) 2.37 2019-10-14 4 A 0 172285 0.00 A 2029-10-13 Common Stock 172285 172285 D The options vest in 12 quarterly installments over three years, commencing on January 1, 2020 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2022, subject to continued service with the Issuer on each respective vesting date. /s/ Matthew K. Szot 2019-10-16