0001249155-18-000058.txt : 20181003 0001249155-18-000058.hdr.sgml : 20181003 20181003181802 ACCESSION NUMBER: 0001249155-18-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181001 FILED AS OF DATE: 20181003 DATE AS OF CHANGE: 20181003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wong Mark CENTRAL INDEX KEY: 0001424445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 181106392 MAIL ADDRESS: STREET 1: BIOFUEL ENERGY CORP. STREET 2: 1600 BROADWAY, SUITE 2200 CITY: DENVER STATE: CO ZIP: 80202 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-10-01 0 0001477246 S&W Seed Co SANW 0001424445 Wong Mark 1941 PEARL STREET BOULDER CO 80302 1 1 0 0 CEO and President Common Stock 2018-10-01 4 M 0 3125 0 A 93870 D Common Stock 2018-10-01 4 F 0 906 2.69 D 92964 D Restricted Stock Units 2018-10-01 4 M 0 3125 0 D 2018-10-01 2021-07-01 Common Stock 3125 34375 D Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2018 through the issuance of shares of common stock. The reporting person is reporting the withholding by the Issuer of an aggregate of 906 shares of common stock that vested on October 1, 2018 pursuant to the RSU award referred to in Table II, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the 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, 2018 vesting date was $2.69. On August 31, 2018, the reporting person was granted 37,500 RSUs, of which 3,125 vested on October 1, 2018. The remaining unvested RSUs will continue to vest in equal installments on 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. /s/ Mark Wong 2018-10-03