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Filing Details

Accession Number:: 0001249155-18-000026
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-04-03 17:48:38
Reporting Period:: 2018-04-01

Accepted Time:: 2018-04-03 17:48:38
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	106 K Street, Suite 300 Sacramento CA 95814	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	2018-04-01	1,931	$0.00	74,714	No	4	M	Direct
Common Stock	Acquisiton	2018-04-01	684	$0.00	75,398	No	4	M	Direct
Common Stock	Acquisiton	2018-04-01	1,005	$0.00	76,403	No	4	M	Direct
Common Stock	Disposition	2018-04-01	1,480	$3.60	74,923	No	4	F	Direct
Common Stock	Disposition	2018-04-02	1,100	$3.50	73,823	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	2018-04-01	1,931	$0.00	1,931	$0.00
Common Stock	Restricted Stock Units	Disposition	2018-04-01	684	$0.00	684	$0.00
Common Stock	Restricted Stock Units	Disposition	2018-04-01	1,005	$0.00	1,005	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,940	2018-04-01	2018-04-01	No	4	M	Direct
4,106	2018-04-01	2018-04-01	No	4	M	Direct
9,051	2018-04-01	2018-04-01	No	4	M	Direct

Footnotes

Represents the settlement of restricted stock units ("RSUs") that vested on April 1, 2018 through the issuance of shares of common stock.
The reporting person is reporting the withholding by the Issuer of an aggregate of 1,480 shares of common stock that vested on April 1, 2018 pursuant to the three 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 three RSU awards.
The sale reported on this Form 4 was 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 March 29, 2018 (the last trading day before the April 1, 2018 vesting date, which fell on a weekend) was $3.60.
On July 15, 2015, the reporting person was granted 25,000 RSUs, of which 1,931 vested on April 1, 2018. The remaining RSUs will vest on July 1, 2018, subject to the reporting person's continued service with the Issuer on the vesting date.
On October 5, 2016, the reporting person was granted 8,210 RSUs, of which 684 vested on April 1, 2018. The remaining unvested RSUs will continue to vest in equal installments 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 Septemer 18, 2017, the reporting person was granted 12,066 RSUs, of which 1,005 vested on April 1, 2018. The remaining unvested RUSs will continue to vest in equal installments 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.