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Filing Details

Accession Number:: 0001249155-17-000046
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-07-05 18:30:36
Reporting Period:: 2017-07-01

Filing Date:: 2017-07-05
Accepted Time:: 2017-07-05 18:30:36
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1477246	S&W Seed Co	SANW	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1401385	K Matthew Szot	802 North Douty Street Hanford CA 93230	Evp Finance & Admin And Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2017-07-01	4,722	$0.00	61,886	No	4	M	Direct
Common Stock	Acquisiton	2017-07-01	1,931	$0.00	63,817	No	4	M	Direct
Common Stock	Acquisiton	2017-07-01	684	$0.00	64,501	No	4	M	Direct
Common Stock	Disposition	2017-07-01	2,758	$4.15	61,743	No	4	F	Direct
Common Stock	Disposition	2017-07-03	1,100	$4.05	60,643	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2017-07-01	4,722	$0.00	4,722	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-07-01	1,931	$0.00	1,931	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-07-01	684	$0.00	684	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4,726	No	4	M	Direct
7,733	No	4	M	Direct
6,159	No	4	M	Direct

Footnotes

Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 100,000 RSUs (the "2013 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013.
Represents the conversion upon vesting of RSUs into common stock. On July 15, 2015, the reporting person was granted 25,000 RSUs (the "2015 RUS grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on July 17, 2015.
Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 8,210 RSUs (the "2016 RSU grant") that were previously reported on Table II of Form 4, which form was filed with the SEC on October 7, 2016.
The reporting person is reporting the withholding by the Issuer of an aggregate of 2,758 shares of common stock that vested on July 1, 2017 pursuant to the 2013 RSU grant, the 2015 RSU grant and the 2016 RSU grant, but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of the converted common stock to the reporting person as of July 1, 2017.
The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on June 30, 2017 (the last trading day before the July 1, 2017 vesting date, which fell on a weekend) was $4.15.
On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,722 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will vest on October 1, 2017, subject to the reporting person's continued service with the Issuer through the vesting date.
On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on July 1, 2017. The common stock into which such vested restricted stock units converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each fiscal quarter through and including July 1, 2018, subject to the reporting person's continued service with the Issuer through each respective vesting date.
On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on July 1, 2017. The common stock into which such vested RSUs converted on July 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date.