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Filing Details

Accession Number:: 0001249155-17-000069
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-10-03 18:10:40
Reporting Period:: 2017-10-01

Accepted Time:: 2017-10-03 18:10:40
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	2017-10-01	4,726	$0.00	65,369	No	4	M	Direct
Common Stock	Acquisiton	2017-10-01	1,931	$0.00	67,300	No	4	M	Direct
Common Stock	Acquisiton	2017-10-01	684	$0.00	67,984	No	4	M	Direct
Common Stock	Acquisiton	2017-10-01	1,005	$0.00	68,989	No	4	M	Direct
Common Stock	Disposition	2017-10-01	3,137	$3.15	65,852	No	4	F	Direct
Common Stock	Disposition	2017-10-02	1,100	$3.11	64,752	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	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	2017-10-01	4,726	$0.00	4,726	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-10-01	1,931	$0.00	1,931	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-10-01	684	$0.00	684	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-10-01	1,005	$0.00	1,005	$0.00

Remaning Holdings	Exercise Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2017-10-01	No	4	M	Direct
5,802	2017-10-01	No	4	M	Direct
5,474	2017-10-01	No	4	M	Direct
11,061	2017-10-01	No	4	M	Direct

Footnotes

Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2017 through the issuance of common stock.
The reporting person is reporting the withholding by the Issuer of an aggregate of 3,137 shares of common stock that vested on October 1, 2017 pursuant to the four RSU awards 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 four RSU awards.
The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
This transaction was executed in multiple trades at prices ranging from $3.10 to $3.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15.
On March 16, 2013, the reporting person was granted 100,000 RSUs, of which 4,726 vested on October 1, 2017. This is the final vesting installment for this RSU award.
On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on October 1, 2017. 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 October 1, 2017. 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.
On September 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on October 1, 2017. The remaining unvested RSUs will continue to vest on the first day of each quarter through and including July 1, 2020, subject to the reporting person's continued service with the Issuer on each respective vesting date.