0001209191-21-059957.txt : 20211007 0001209191-21-059957.hdr.sgml : 20211007 20211007173918 ACCESSION NUMBER: 0001209191-21-059957 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211005 FILED AS OF DATE: 20211007 DATE AS OF CHANGE: 20211007 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: 211313208 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: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 BUSINESS PHONE: (720) 506-9191 MAIL ADDRESS: STREET 1: 2101 KEN PRATT BLVD. STREET 2: SUITE 201 CITY: LONGMONT STATE: CO ZIP: 80501 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-10-05 0 0001477246 S&W Seed Co SANW 0001401385 Szot Matthew K C/O S&W SEED COMPANY 2101 KEN PRATT BLVD., SUITE 201 LONGMONT CO 80501 0 1 0 0 EVP Finance & Admin and CFO Common Stock 2021-10-05 4 A 0 7490 0.00 A 138140 D Stock option (right to buy) 2.64 2021-10-05 4 A 0 80000 0.00 A 2031-10-04 Common Stock 80000 80000 D Represents restricted stock unit award that vests in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date. The options vest in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date. /s/ Matthew Szot 2021-10-07