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Filing Details

Accession Number:: 0001592747-14-000066
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-10-03 20:42:17
Reporting Period:: 2014-10-01

Filing Date:: 2014-10-03
Accepted Time:: 2014-10-03 20:42:17
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1477246	S&W Seed Co	SANW	Agricultural Production-Crops (100)	271275784

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1401385	K Matthew Szot	P.o. Box 235 Five Points CA 93624	Evp Of Fin. And 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	2014-10-01	4,722	$0.00	37,809	No	4	M	Direct
Common Stock	Disposition	2014-10-01	2,156	$0.00	35,653	No	4	F	Direct
Common Stock	Disposition	2014-10-01	1,100	$4.12	34,553	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	2014-10-01	4,722	$0.00	4,722	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
56,668			No	4	M	Direct

Footnotes

Represents the conversion upon vesting of restricted stock units ("RSUs") into shares of common stock. On March 16, 2013, the Reporting Person was granted 100,000 RSUs that were previously reported in Table II of Form 4, which was filed with the Securities and Exchange Commission on March 19, 2013.
The Reporting Person is reporting the withholding by the Issuer of 2,156 shares of common stock that vested on October 1, 2014, but which 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 October 1, 2014.
These sales were made pursuant to a Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
Each RSU is the economic equivalent of one share of the Issuer's common stock.
On March 16, 2013, the Reporting Person was granted 100,000 RSUs, of which 4,722 vested on October 1, 2014. The number of shares of common stock into which such vested RSUs converted on October 1, 2014 is reported in Table I of this Form 4. The remaining unvested RSUs will continue to vest in 12 additional quarterly installments of 4,722 RSUs on the first day of each fiscal quarter and a final quarterly installment will vest an aggregate of 4,726 RSUs on October 1, 2017, subject to the Reporting Person's continued service with the Issuer through the vesting date. Vested shares will be delivered to the Reporting Person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion.