Sec Form 4 Filing - Szot Matthew K @ S&W Seed Co - 2021-07-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Szot Matthew K
2. Issuer Name and Ticker or Trading Symbol
S&W Seed Co [ SANW]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP Finance & Admin and CFO
(Last) (First) (Middle)
C/O S&W SEED COMPANY, 2101 KEN PRATT BLVD., SUITE 201
3. Date of Earliest Transaction (MM/DD/YY)
07/01/2021
(Street)
LONGMONT, CO80501
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/01/2021 M( 1 ) 1,040 A 133,987 D
Common Stock 07/01/2021 F( 3 ) 1,841 D $ 3.63 132,146 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 2 ) 07/01/2021 M 1,040 ( 4 ) ( 4 ) Common Stock 1,040 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Szot Matthew K
C/O S&W SEED COMPANY
2101 KEN PRATT BLVD., SUITE 201
LONGMONT, CO80501
EVP Finance & Admin and CFO
Signatures
/s/ Matthew K. Szot 07/06/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2021 through the issuance of shares of common stock.
( 2 )Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on July 1, 2021 was $3.63.
( 3 )The reporting person is reporting the withholding by the Issuer of an aggregate of 1,841 shares of common stock that vested on July 1, 2021 pursuant to RSU awards granted on August 31, 2018, October 14, 2019 and October 1, 2020, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
( 4 )On August 31, 2018, the reporting person was granted 12,469 RSUs, of which the remaining 1,040 shares vested on July 1, 2021. The RSU vested quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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