Grundläggande statistik
| LEI | 5493000VGNLHM547AC08 |
| CIK | 1477246 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to S&W Seed Company
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 333-261728 S&W SEED COMPANY (Exact name of registrant as specified in its c |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 S&W SEED COMPANY (Exact name of registrant as specified in its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on July 31, 2025 As filed with the Securities and Exchange Commission on July 31, 2025 Registration No. |
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| July 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34719 S&W SEED COMPANY The Nasdaq Capital Market (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 2101 Ken P |
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| July 17, 2025 |
NOTICE OF PRIVATE DISPOSITION OF COLLATERAL UNDER UNIFORM COMMERCIAL CODE Dated: July 11, 2025 EXHIBIT 99.1 NOTICE OF PRIVATE DISPOSITION OF COLLATERAL UNDER UNIFORM COMMERCIAL CODE Dated: July 11, 2025 NOTICE IS HEREBY GIVEN that sometime after 10:00 a.m. (Central Time) on July 24, 2025, ABL OPCO LLC, a Delaware limited liability company, in its capacity as administrative agent (in such capacity, together with its successors and assigns, ‘‘Agent”), intends to offer to sell, or cause to be |
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| July 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2025 S&W SEED COMPANY (Exact name of registrant as specified in its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| July 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2025 S&W SEED COMPANY (Exact name of registrant as specified in its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 14, 2025 |
S&W Announces Voluntary Delisting from Nasdaq and SEC Deregistration Exhibit 99.1 S&W Announces Voluntary Delisting from Nasdaq and SEC Deregistration Longmont, Colorado – July 14, 2025 – S&W Seed Company (Nasdaq: SANW) (“S&W or the “Company”) today announced that its board of directors (the “Board”) approved the voluntarily delisting of the Company’s common stock from The Nasdaq Capital Market and the subsequent voluntary deregistration of its common stock with th |
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| July 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2025 S&W SEED COMPANY (Exact name of registrant as specified in its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 23, 2025 |
Exhibit 10.1 ABL OPCO LLC, 6801 Gaylord Parkway, Suite 202 Frisco, Texas 75034 June 18, 2025 S&W Seed Company 2101 Ken Pratt Blvd, Suite 201 Longmont, Colorado 80501 Attention: Vanessa Baughman, Chief Financial Officer E-Mail: [email protected] Re: Funding Request under Credit and Security Agreement Ladies and Gentlemen: Reference is made to (i) that certain Credit and Security Agreemen |
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| June 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2025 S&W SEED COMPANY (Exact name of registrant as specified in its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 15, 2025 |
S&W Announces Third Quarter Fiscal 2025 Financial Results S&W Announces Third Quarter Fiscal 2025 Financial Results Longmont, Colorado – May 15, 2025 – S&W Seed Company (Nasdaq: SANW), or S&W, today announced financial results for the three months ended March 31, 2025. |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SE |
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| February 13, 2025 |
Exhibit 10.9 EXECUTION VERSION CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT S&W SEED CO. TREATS AS PRIVATE OR CONFIDENTIAL BUSINESS TRANSFER AGREEMENT S&W SEED COMPANY - S&W SEED COMPANY AUSTRALIA PTY LTD (Subject to a Deed of Company Arrangement) THIS BUSINESS TRANSFER AGREEMENT (TOGETH |
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| February 13, 2025 |
Exhibit 10.6 Execution Version SIXTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This SIXTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of November 27, 2024 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L.P., a Delaware limited partnership the “Lender”). WHEREAS, the Borrower and the Lender |
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| February 13, 2025 |
Exhibit 10.11 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT S&W SEED CO. TREATS AS PRIVATE OR CONFIDENTIAL National Australia Bank Limited S&W Seed Company Deed of Release of US Corporate Guarantee Administration of S&W Seed Company Australia Pty Ltd (Subject to Deed of Company Arrangemen |
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| February 13, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2025 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| February 13, 2025 |
Exhibit 10.4 CREDIT AND SECURITY AGREEMENT among S&W SEED COMPANY, and EACH OTHER PERSON THAT MAY BE JOINED AFTER THE DATE HEREOF AS A BORROWER, (collectively, as Borrowers) the other Borrowers and Loan Parties from time to time party hereto, the Lenders from time to time party hereto, AND ABL OPCO LLC (as Administrative Agent) Dated as of December 19, 2024 DOCPROPERTY DMNumber 4864-0968-7158 DOCP |
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| February 13, 2025 |
Exhibit 10.7 Execution Version SEVENTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This SEVENTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of December 19, 2024 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L.P., a Delaware limited partnership the “Lender”). WHEREAS, the Borrower and the Len |
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| February 13, 2025 |
Exhibit 10.10 EXECUTION VERSION CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT S&W SEED CO. TREATS AS PRIVATE OR CONFIDENTIAL Dated 2024 Deed of Settlement and Release between S&W Seed Company Australia Pty Ltd [***] (Subject to a Deed of Company Arrangement) S&W Australia S&W Holdings Aus |
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| February 13, 2025 |
S&W Announces Second Quarter Fiscal 2025 Financial Results S&W Announces Second Quarter Fiscal 2025 Financial Results Longmont, Colorado – February 13, 2025 – S&W Seed Company (Nasdaq: SANW), or S&W, today announced financial results for the three months ended December 31, 2024. |
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| February 13, 2025 |
S&W Seed Company 2019 Equity Incentive Plan, as amended. Exhibit 10.8 S&W SEED COMPANY 2019 EQUITY INCENTIVE PLAN Adopted by the Board of Directors: December 3, 2018 Approved by the Stockholders: January 16, 2019 Amended by the Board of Directors: October 14, 2020 Approved by the Stockholders: December 16, 2020 Amended by the Board of Directors: October 30, 2024 Approved by the Stockholders: December 17, 2024 In accordance with Section 10.1, the maximum |
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| February 13, 2025 |
Exhibit 10.5 FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Fifth Amendment to Amended and Restated Loan and Security Agreement (this “Fifth Amendment”) made and entered into as of the 29th day of November, 2024, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”; together with any other party joined as a borrower under the Loan Agreement (as hereinafter d |
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| January 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2025 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 23, 2024 |
Exhibit 22 Stock Purchase Agreement This Stock Purchase Agreement (this “Agreement”) is made as of December 19, 2024 (the “Effective Date”), by and between S&W Seed Company (the “Company” or “Buyer”) and MFP Partners, L. |
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| December 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 27, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 27, 2024 |
S&W Seed Company Pro Forma Consolidated Financial Statements EX-99.1 2 sanw-ex991.htm EX-99.2 S&W Seed Company Pro Forma Consolidated Financial Statements (Unaudited) The following unaudited pro forma consolidated financial statements of S&W Seed Company, or the Company, are presented to illustrate the effect to the Company's historical financial position and operating results as of the closing of the transaction to transfer all of the outstanding shares of |
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| November 26, 2024 |
S&W Files First Quarter 2025 10-Q S&W Files First Quarter 2025 10-Q Longmont, Colorado – November 26, 2024 – S&W Seed Company (Nasdaq: SANW) today announced it has filed its 10-Q for the three months ended September 30, 2024. |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W S |
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| November 26, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 26, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 20, 2024 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SCHEDULE 13D, AMENDMENT NO. 16 Activist Investment SC 13D/A 1 sc13da16.htm SCHEDULE 13D, AMENDMENT NO. 16 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 16) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (T |
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| November 19, 2024 |
S&W Announces Preliminary First Quarter Fiscal 2025 Financial Results S&W Announces Preliminary First Quarter Fiscal 2025 Financial Results Longmont, Colorado – November 19, 2024 – S&W Seed Company (Nasdaq: SANW) today announced preliminary financial results for the three months ended September 30, 2024. |
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| November 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 001-34719 (SEC Filing Number) 785135104 NOTIFICATION OF LATE FILING (CUSIP Number) (Check one): o Form 10-K o Form 20-F o Form 11-K ý Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: September 30, 2024 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11- |
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| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| November 1, 2024 |
Waiver, dated November 1, 2024, by and among S&W Seed Company and AgAmerica Exhibit 10.51 October 31, 2024 S&W Seed Company 2101 Ken Pratt Blvd, Ste 201 Longmont, CO 80501 RE: Covenant Amendment and Waiver (the “Amendment and Waiver”) for Loan #1545 (the “Loan”) Dear Mr. Herrmann: Pursuant to the Loan Agreement dated June 20, 2023, between S&W SEED COMPANY (hereinafter referred to as the “Borrower”), and AGAMERICA LENDING LLC, as assigned to AGAMERICA GA1, LLC (hereinafte |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED COMPANY ( |
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| November 1, 2024 |
Employment Agreement by and between the Registrant and Mark Herrmann, dated June 28, 2024 Exhibit 10.46 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is entered into as of June 28, 2024, and effective as of July 1, 2024 (the “Effective Date”) by and between S&W Seed Company, a Nevada corporation (the “Company”) and Mark Herrmann (“Executive”). Together, Executive and the Company are sometimes referred to as the “Parties.” Ca |
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| November 1, 2024 |
Waiver, dated July 31, 2024, by and among S&W Seed Company and CIBC Bank USA. Exhibit 10.49 CIBC July 31, 2024 VIA FEDEX AND ELECTRONIC DELIVERY S&W Seed Company 2101 Ken Pratt Blvd., Suite 201 Longmont, CO 80501 Attention: Ms. Vanessa Baughman Re: CIBC Bank USA - S&W Seed Company Ms. Baughman: Reference is hereby made to (i) that certain Amended and Restated Loan and Security Agreement dated as of March 22, 2023, as amended by that certain First Amendment to Amended and Re |
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| November 1, 2024 |
Incentive Compensation Recoupment (Clawback) Policy S&W SEED COMPANY Incentive Compensation Recoupment Policy 1. Introduction The Board of Directors (the “Board”) of S&W Seed Company, a Nevada corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incentive Compensation Recoupment Policy (this “Policy”) providing for the Company’s recoupment of Recoverable Incentive Compensatio |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 1, 2024 |
S&W Announces Fiscal 2024 Financial Results Company to host conference call and webcast today at 11:00 a. |
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| November 1, 2024 |
Exhibit 10.48 Execution Version FOURTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This FOURTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of July 15, 2024 Amendment is entered into by and between S&W SEED COMPANY, a Nevada Borrower ), and MFP PARTNERS, L.P., a Delaware limited partnership Lender ). WHEREAS, the Borrower and the Lender are parties to that certain Subord |
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| November 1, 2024 |
Exhibit 10.51 10/31/24 FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Fourth Amendment to Amended and Restated Loan and Security Agreement (this “Fourth Amendment”) made and entered into as of the 31st day of October, 2024, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”; together with any other party joined as a borrower under the Loan Agreement (as h |
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| November 1, 2024 |
Exhibit 10.47 THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Third Amendment to Amended and Restated Loan and Security Agreement (this “Third Amendment”) made and entered into as of the 3rd day of July 2024, but effective as of July 1, 2024, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”; together with any other party joined as a borrower under the Loa |
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| November 1, 2024 |
Subsidiaries of the Registrant Exhibit 21.1 SUBSIDIARIES OF S&W SEED COMPANY, Nevada corporation Seed Holding, LLC, a Nevada limited liability company Stevia California, LLC, a California limited liability company S&W Holdings Australia Pty Ltd, an Australia corporation (f/k/a S&W Seed Australia Pty Ltd) S&W Seed Company Australia Pty Ltd, an Australia corporation (f/k/a Seed Genetics International Pty Ltd) (wholly-owned by S&W |
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| November 1, 2024 |
Exhibit 10.52 Execution Version FIFTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This FIFTH AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of October 31, 2024 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L.P., a Delaware limited partnership the “Lender”). WHEREAS, the Borrower and the Lender |
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| November 1, 2024 |
S&W Seed Company Amended and Restated Non-Employee Director Compensation Policy E Exhibit 10.45 S&W Seed Company Amended and Restated Non-Employee Director Compensation Policy Effective: December 13July 1, 20232024 Each member of the Board of Directors (the “Board”) of S&W Seed Company (the “Company”) who is not also serving as an employee of or consultant to the Company or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation descri |
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| October 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 15, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| September 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 001-34719 (SEC Filing Number) 785135104 NOTIFICATION OF LATE FILING (CUSIP Number) (Check one): ý Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: June 30, 2024 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o T |
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| September 27, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| July 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| July 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| July 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED |
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| May 14, 2024 |
Exhibit 10.2 SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Second Amendment to Amended and Restated Loan and Security Agreement (this “Second Amendment”) made and entered into as of the 13th day of May, 2024, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”; together with any other party joined as a borrower under the Loan Agreement (as hereinafter def |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 14, 2024 |
S&W Announces Third Quarter Fiscal 2024 Financial Results S&W Announces Third Quarter Fiscal 2024 Financial Results LONGMONT, Colorado – May 14, 2024 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the three months ended March 31, 2024. |
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| March 6, 2024 |
Exhibit 99.1 |
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| March 6, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2024 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 5, 2024 |
GT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| March 5, 2024 |
Letter from Crowe LLP, dated March 5, 2024 Exhibit 16.1 |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SE |
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| February 14, 2024 |
Employment Agreement by and between the Registrant and Vanessa Baughman, dated February 9, 2024. EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into as of February 9, 2024, (the “Effective Date”) by and between S&W Seed Company, a Nevada corporation (the “Company”) and Vanessa Baughman (“Executive”). |
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| February 14, 2024 |
AMENDMENT AND RESTATEMENT DEED National Australia Bank Limited and S&W SEED COMPANY AUSTRALIA PTY LTD ACN 061 114 814 DATED 2 November 2023 Amendment and Restatement Deed (S&W Seed Company). |
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| February 14, 2024 |
S&W Announces Second Quarter Fiscal 2024 Financial Results S&W Announces Second Quarter Fiscal 2024 Financial Results LONGMONT, Colorado – February 14, 2024 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the three months ended December 31, 2023. |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2024 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 14, 2024 |
S&W Seed Company Amended and Restated Non-Employee Director Compensation Policy S&W Seed Company Amended and Restated Non-Employee Director Compensation Policy Effective: December 13, 2023 Each member of the Board of Directors (the “Board”) of S&W Seed Company (the “Company”) who is not also serving as an employee of or consultant to the Company or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Policy”) for his or her Board service. |
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| December 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 S&W Seed Company (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2023 S&W Seed Company (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 9, 2023 |
S&W Announces First Quarter Fiscal 2024 Financial Results S&W Announces First Quarter Fiscal 2024 Financial Results LONGMONT, Colorado – November 9, 2023 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the three months ended September 30, 2023. |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W S |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3471 |
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| October 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| October 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| October 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| September 27, 2023 |
S&W Announces Fiscal 2023 Financial Results S&W Announces Fiscal 2023 Financial Results LONGMONT, Colorado – September 27, 2023 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the fiscal year ended June 30, 2023. |
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| September 27, 2023 |
Separation Agreement by and between the Registrant and Mark W. Wong, dated August 18, 2023 August 18, 2023 Mark Wong (via email) Dear Mark: This letter sets forth your agreement (this “Agreement”) with S&W Seed Company, a Nevada corporation (the “Company”), regarding your retirement from the Company. |
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| September 27, 2023 |
Separation Agreement by and between the Registrant and Donald Panter, dated February 6, 2023 February 6, 2023 Donald M. Panter, Jr. Dear Don: This letter sets forth the substance of the separation agreement (this “Agreement”) that S&W Seed Company (the “Company”) is offering as you transition employment to Vision Bioenergy Oilseeds LLC (“VBO”). 1. Separation. You have been employed with the Company pursuant to that certain Employment Agreement dated as of September 27, 2021 (the “Employme |
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| September 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED COMPANY ( |
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| September 27, 2023 |
Employment Agreement by and between the Registrant and Mark Herrmann, dated June 26, 2023 EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into as of June 26, 2023 (the “Effective Date”) by and between S&W Seed Company, a Nevada corporation (the “Company”) and Mark Herrmann (“Executive”). |
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| September 27, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 SUBSIDIARIES OF S&W SEED COMPANY, Nevada corporation Pasture Genetics Pty Ltd, an Australia corporation (wholly-owned by S&W Seed Company Australia Pty Ltd) Seed Holding, LLC, a Nevada limited liability company Stevia California, LLC, a California limited liability company S&W Holdings Australia Pty Ltd, an Australia corporation (f/k/a S&W Seed Australia Pty Ltd) S&W Seed Company Aust |
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| September 27, 2023 |
FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This First Amendment to Amended and Restated Loan and Security Agreement (this “First Amendment”) made and entered into as of the 25th day of September, 2023, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”; together with any other party joined as a borrower under the Loan Agreement (as hereinafter defined), eac |
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| September 27, 2023 |
Science | Seed | Life September 25, 2023 Dear Ms. Baughman: On behalf of S&W Seed Company, I am pleased to extend your temporary short-term position of Interim Chief Financial Officer. Your employment and role as Interim Chief Financial Officer will now be expected to end on April 30, 2024, unless we mutually agree to extend your interim position. You will continue to report to Mark Herrmann, Chie |
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| September 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 27, 2023 |
Employment Agreement by and between the Registrant and Vanessa Baughman, dated April 26, 2023 Science | Seed | Life Vanessa Baughman Dear Ms. Baughman: On behalf of S&W Seed Company, I am pleased to offer you a temporary short-term position in our finance group. Your employment start date will be May 2, 2023. You will be appointed as Interim Chief Financial Officer effective upon the close of business on the earlier of (i) the day on which S&W files its Quarterly Report on Form 10-Q for th |
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| August 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2023 S&W Seed Company (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| June 26, 2023 |
Promissory Note, dated June 20, 2023, issued by the Company to AgAmerica Exhibit 10.2 PROMISSORY NOTE Loan Amount: $4,300,000.00 Loan Number: Date of Execution: June 20, 2023 FOR VALUE RECEIVED, S&W SEED COMPANY, a Nevada corporation, whose address is 2101 Ken Pratt Blvd, Suite 201, Longmont, Colorado 80501 (collectively the “Borrower”), hereby promises to pay to the order of AGAMERICA LENDING LLC, a Florida limited liability company (the “Lender”), at 4030 South Pipki |
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| June 26, 2023 |
Registrant's Third Amended and Restated Bylaws. Exhibit 3.1 THIRD AMENDED AND RESTATED BYLAWS OF S&W SEED COMPANY (a Nevada corporation) As Adopted June 20, 2023 284539793 v3 Table of Contents Page Article I OFFICES 1 Section 1.1 Principal and Other Offices 1 Article II STOCKHOLDERS 1 Section 2.1 Annual Meetings 1 Section 2.2 Special Meetings 1 Section 2.3 Advance Notice of Stockholder Business and Nominations 1 Section 2.4 Notice of Meetings 4 |
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| June 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2023 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| June 26, 2023 |
Term Loan Agreement, by and between the Company and AgAmerica, dated June 20, 2023 Exhibit 10.1 TERM LOAN AGREEMENT by and between S&W SEED COMPANY, a Nevada Corporation, as Borrower and AGAMERICA LENDING LLC, a Florida limited liability company, as Lender dated as of June 20, 2023 DOCS/2960446.5 TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND ACCOUNTING MATTERS 1 Section 1.01. Certain Defined Terms 1 Section 1.02. Accounting Matters/Rounding 4 Section 1.03. Construction 5 ART |
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| May 11, 2023 |
Exhibit 10.2 Amended and Restated Loan And Security Agreement Dated as of March 22, 2023 among S&W SEED COMPANY, as Borrower THE OTHER LOAN PARTIES HERETO THE VARIOUS FINANCIAL INSTITUTIONS PARTY HERETO, as Lenders and CIBC BANK USA, as ADMINISTRATIVE AGENT AND SOLE LEAD ARRANGER TABLE OF CONTENTS Page SECTION 1 DEFINITIONS. 1 1.1. Definitions. 1 SECTION 2 LOANS. 22 2.1. Loan Facilities. 22 2.2. L |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED |
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| May 11, 2023 |
S&W Announces Third Quarter Fiscal 2023 Financial Results S&W Announces Third Quarter Fiscal 2023 Financial Results LONGMONT, Colorado – May 11, 2023 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the three months ended March 31, 2023. |
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| May 11, 2023 |
AMENDMENT DEED National Australia Bank Limited and S&W SEED COMPANY AUSTRALIA PTY LTD A. |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 11, 2023 |
Common Stock Purchase Warrant issued to MFP Partners, L.P. on March 22, 2023. Exhibit 4.7 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (I |
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| May 11, 2023 |
Exhibit 10.3 THIRD AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This THIRD AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of March 22, 2023 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L.P., a Delaware limited partnership the “Lender”). WHEREAS, the Borrower and the Lender are parties to that c |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| March 27, 2023 |
SANW / S&W Seed Co / MFP INVESTORS LLC - SCHEDULE 13D, AMENDMENT NO. 15 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 15) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| March 27, 2023 |
COMMON STOCK PURCHASE WARRANT S&W SEED COMPANY Exhibit 21 Execution Version NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE S |
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| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or other jurisdiction of incorporation) (Commission File Numb |
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| March 22, 2023 |
CORRESP 1 filename1.htm March 22, 2023 United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Al Pavot Terence O’Brien Re: S&W Seed Co File No. 1-34719 Form 8-K filed February 7, 2023 Ladies and Gentlemen: We are in receipt of the comment letter, dated February 27, 2023, from the staff (the “Staff”) o |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 S&W SEED COMPANY (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| March 13, 2023 |
S&W Seed Company (Nasdaq: SANW) March 2023 S&W Seed Company (Nasdaq: SANW) March 2023 2 Forward-Looking Statements S&W Seed Company (Nasdaq: SANW) This presentation contains "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, and such forward-looking statements are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. |
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| March 7, 2023 |
CORRESP 1 filename1.htm March 7, 2023 United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Al Pavot Terence O’Brien Re: S&W Seed Co File No. 1-34719 Form 8-K filed February 7, 2023 Dear Ladies and Gentlemen: Reference is made to the comment letter (the “Comment Letter”), dated February 22, 2023, fro |
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| February 16, 2023 |
SANW / S&W Seed Company / WYNNEFIELD PARTNERS SMALL CAP VALUE LP I - SC 13G Passive Investment SC 13G 1 tm236988d1sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 S&W SEED COMPANY (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 785135104 (CUSIP Number) February 7, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| February 13, 2023 |
EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Eighth Amendment to Loan and Security Agreement (this “Eighth Amendment”) made and entered into as of the 23rd day of December, 2022, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”), Seed Holding, LLC, a Nevada limited liability company (“Seed Holding”), and Stevia California, LLC, a California limited liability company (“Ste |
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| February 13, 2023 |
Common Stock Purchase Warrant issued to MFP Partners, L.P. on December 22, 2022. NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (II) PURSUANT |
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| February 13, 2023 |
Common Stock Purchase Warrant issued to MFP Partners, L.P. on October 28, 2022. NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (II) PURSUANT |
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| February 13, 2023 |
SECOND AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This SECOND AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of December 22, 2022 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L. |
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| February 13, 2023 |
AMENDMENT DEED National Australia Bank Limited and S&W SEED COMPANY AUSTRALIA PTY LTD A. |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SE |
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| February 13, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| February 13, 2023 |
Execution Version FIRST AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT This FIRST AMENDMENT TO SUBORDINATE LOAN AND SECURITY AGREEMENT, dated as of October 28, 2022 (this “Amendment”), is entered into by and between S&W SEED COMPANY, a Nevada corporation (the “Borrower”), and MFP PARTNERS, L. |
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| February 13, 2023 |
SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Seventh Amendment to Loan and Security Agreement (this “Seventh Amendment”) made and entered into as of the 28th day of October, 2022, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”), Seed Holding, LLC, a Nevada limited liability company (“Seed Holding”), and Stevia California, LLC, a California limited liability company (“S |
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| February 13, 2023 |
THIRD AMENDMENT TO NOTE Loan # R1036 This Third Amendment to Note (this “Third Amendment”), dated effective as of December 23, 2022 (the “Effective Date”), is entered into by and between S&W Seed Company, a Nevada corporation (“Borrower”), and Rooster Capital LLC, a Delaware limited liability company (“Lender”). |
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| February 13, 2023 |
S&W Seed Company Non-Employee Director Compensation Policy S&W Seed Company Non-Employee Director Compensation Policy Each member of the Board of Directors (the “Board”) of S&W Seed Company (the “Company”) who is not also serving as an employee of or consultant to the Company or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation described in this Non-Employee Director Compensation Policy (this “Policy”) for his or her Board service. |
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| February 13, 2023 |
AMENDMENT AND RESTATEMENT DEED National Australia Bank Limited and S&W SEED COMPANY AUSTRALIA PTY LTD A. |
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| February 13, 2023 |
S&W Announces Second Quarter Fiscal 2023 Financial Results S&W Announces Second Quarter Fiscal 2023 Financial Results LONGMONT, Colorado – February 13, 2023 – S&W Seed Company (Nasdaq: SANW) today announced financial results for the three months ended December 31, 2022. |
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| February 7, 2023 |
S&W Seed Company[MP1] Pro Forma Consolidated Financial Statements S&W Seed Company[MP1] Pro Forma Consolidated Financial Statements (unaudited) The following unaudited pro forma consolidated financial statements of S&W Seed Company (“S&W”) are presented to illustrate the effect to S&W’s historical financial position and operating results as of the closing of the transactions establishing the Shell JV (as defined in Note 1— Basis of Presentation), which occurred on February 6, 2023. |
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| February 7, 2023 |
Exhibit 10.1 Certain portions of this exhibit, marked by [***], have been excluded because they are both not material and are the type that the registrant treats as private or confidential. CONTRIBUTION AND MEMBERSHIP INTEREST PURCHASE AGREEMENT BY AND BETWEEN EQUILON ENTERPRISES LLC AND S&W SEED COMPANY DATED AS OF February 06, 2023 Execution Version Page 1 TABLE OF CONTENTS Page Article I DEFINI |
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| February 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 06, 2023 S&W Seed Company (Exact name of Registrant as Specified in Its Charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| January 3, 2023 |
S&W and Trigall Genetics Announce Agreement to Form Trigall Australia, a JV for Wheat Breeding in Australia ? Trigall Genetics will own 80% of the newly created Australian company, Trigall Australia. |
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| January 3, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2023 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| December 29, 2022 |
COMMON STOCK PURCHASE WARRANT S&W SEED COMPANY EX-99.1 2 ex19.htm EXHIBIT 19 - FORM OF COMMON STOCK PURCHASE WARRANT ISSUED TO MFP PARTNERS, L.P. ON OCTOBER 28, 2022 Exhibit 19 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDING |
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| December 29, 2022 |
COMMON STOCK PURCHASE WARRANT S&W SEED COMPANY EX-99.2 3 ex20.htm EXHIBIT 20 - FORM OF COMMON STOCK PURCHASE WARRANT ISSUED TO MFP PARTNERS, L.P. ON DECEMBER 22, 2022 Exhibit 20 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDIN |
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| December 29, 2022 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SCHEDULE 13 D/A - AMENDMENT 14 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 14) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W S |
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| November 14, 2022 |
S&W Announces First Quarter Fiscal 2023 Financial Results EXHIBIT 99.1 S&W Announces First Quarter Fiscal 2023 Financial Results For Immediate Release Company Contact: Investor Contact: Betsy Horton, Chief Financial Officer Robert Blum S&W Seed Company Lytham Partners, LLC Phone: (720) 593-3570 Phone: (602) 889-9700 www.swseedco.com [email protected] www.lythampartners.com LONGMONT, Colorado – November 14, 2022 – S&W Seed Company (Nasdaq: SANW) tod |
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| November 14, 2022 |
Exhibit 10.2 The obligations evidenced by this SUBORDINATE LOAN AND SECURITY AGREEMENT are subordinated to the prior payment in full of the ?Senior Debt? and the termination of the ?Senior Commitment? (as such terms are defined in the Subordination Agreement hereinafter referred to) pursuant to, and to the extent provided in, the Subordination Agreement dated as of September 22, 2022, by and among |
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| November 14, 2022 |
Exhibit 10.4 SECOND AMENDMENT TO NOTE Loan # R1036 This Second Amendment to Note (this ?Second Amendment?), dated effective as of September 22, 2022 (the ?Effective Date?), is entered into between S&W Seed Company, a Nevada corporation (?Borrower?), and Rooster Capital LLC, a Delaware limited liability company (?Lender?). RECITALS WHEREAS, Borrower executed a promissory note dated November 30, 201 |
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| November 14, 2022 |
Exhibit 10.1 JPMORGAN CHASE BANK, N.A. GLOBAL TRADE OPERATIONS 10420 HIGHLAND MANOR DRIVE, FLOOR 04 TAMPA, FL 33610-9128 SWIFT: CHASUS33 To: MFP Partners, LP C/O MFP INVESTORS LLC 909 3rd Avenue FL 33 New York, NY 10022 Date: 21 Sep 2022 Subject : Acknowledgement Advice for Standby Letter of Credit Our Reference : NUSCGS044349 Dear Sir/Madam, Your Reference : CIBC Bank USA Standby LC Reference : N |
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| November 14, 2022 |
Exhibit 10.3 SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Sixth Amendment to Loan and Security Agreement (this ?Sixth Amendment?) made and entered into as of the 22nd day of September, 2022, is by and among S&W Seed Company, a Nevada corporation (?S&W Seed?), Seed Holding, LLC, a Nevada limited liability company (?Seed Holding?), and Stevia California, LLC, a California limited liability co |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 14, 2022 |
Common Stock Purchase Warrant issued to MFP Partners, L.P. on September 22, 2022. Exhibit 4.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (I |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 25, 2022 |
Exhibit 99.1 S&W Reports Preliminary Financial Results for the First Quarter of Fiscal 2023 S&W to Report First Quarter Fiscal 2023 Financial Results on November 10, 2022 For Immediate Release Company Contact: Investor Contact: Betsy Horton, Chief Financial Officer Robert Blum S&W Seed Company Lytham Partners, LLC Phone: (720) 593-3570 Phone: (602) 889-9700 www.swseedco.com [email protected] |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| October 7, 2022 |
COMMON STOCK PURCHASE WARRANT S&W SEED COMPANY NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (II) PURSUANT |
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| October 7, 2022 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SCHEDULE 13 D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 13) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| September 28, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 SUBSIDIARIES OF S&W SEED COMPANY, Nevada corporation Pasture Genetics Pty Ltd, an Australia corporation (wholly-owned by S&W Seed Company Australia Pty Ltd) Seed Holding, LLC, a Nevada limited liability company Stevia California, LLC, a California limited liability company S&W Holdings Australia Pty Ltd, an Australia corporation (f/k/a S&W Seed Australia Pty Ltd) S&W Seed Company Aust |
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| September 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED COMPANY ( |
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| September 28, 2022 |
S&W Announces Fiscal 2022 Financial Results EXHIBIT 99.1 S&W Announces Fiscal 2022 Financial Results For Immediate Release Company Contact: Investor Contact: Betsy Horton, Chief Financial Officer Robert Blum S&W Seed Company Lytham Partners, LLC Phone: (720) 593-3570 Phone: (602) 889-9700 www.swseedco.com [email protected] www.lythampartners.com LONGMONT, Colorado ? September 28, 2022 ? S&W Seed Company (Nasdaq: SANW) today announced |
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| September 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 28, 2022 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 12) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| June 28, 2022 |
CUSIP NO. 785135104 Schedule 13D EXHIBIT 17 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to t |
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| June 24, 2022 |
CUSIP NO. 785135104 Schedule 13D EXHIBIT 17 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to t |
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| June 24, 2022 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SCHEDULE 13D - AMENDMENT 12 Activist Investment HeySECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ?240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ?240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 12) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number |
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| May 18, 2022 |
Up to $24,600,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-248974 AMENDMENT NO. 2 DATED MAY 17, 2022 (To the Prospectus Dated November 2, 2020) Up to $24,600,000 Common Stock This Amendment No. 2 to Prospectus (this ?Amendment?) amends our prospectus dated November 2, 2020 (File No. 333-248974), as amended on September 27, 2021 (the ?Prospectus?), relating to shares of our common stock that may be issu |
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| May 17, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 17, 2022 |
Exhibit 1.1 Execution Version S&W SEED COMPANY Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement September 23, 2020 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: S&W Seed Company, a Nevada corporation (the ?Company?), confirms its agreement (this ?Agreement?) with B. Riley Securities, Inc. (the ?Agent?) as follows: 1. Issu |
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| May 16, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 16, 2022 |
Exhibit 10.3 FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Fifth Amendment to Loan and Security Agreement (this ?Fifth Amendment?) made and entered into as of the 13th day of May, 2022, is by and among S&W Seed Company, a Nevada corporation (?S&W Seed?), Seed Holding, LLC, a Nevada limited liability company (?Seed Holding?), and Stevia California, LLC, a California limited liability company |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W |
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| May 16, 2022 |
S&W Announces Third Quarter Fiscal 2022 Financial Results EXHIBIT 99.1 S&W Announces Third Quarter Fiscal 2022 Financial Results For Immediate Release Company Contact:Investor Contact: Betsy Horton, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 593-3570Phone: (602) 889-9700 [email protected] LONGMONT, Colorado ? May 16, 2022 ? S&W Seed Company (Nasdaq: SANW) today announc |
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| February 28, 2022 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SCHEDULE 13D, AMENDMENT NO. 11 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ?240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ?240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 11) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| February 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| February 23, 2022 |
Form of Warrant issued on February 18, 2022 Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT (I) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (I |
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| February 23, 2022 |
Registration Rights Agreement, dated February 18, 2022, by and among the Registrant and MFP Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), is made and entered into as of this 18th day of February, 2022 between S&W Seed Company, a Nevada corporation, with offices at 2101 Ken Pratt Blvd, Suite 201, Longmont, Colorado 80501 (the ?Company?) and the investors listed on Exhibit A hereto (each, an ?Investor? and together the ?Investors?). This |
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| February 23, 2022 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), is made and entered into as of February 18, 2022, between S&W Seed Company, a Nevada corporation, with offices at 2101 Ken Pratt Blvd, Suite 201, Longmont, Colorado 80501 (the ?Company?) and each of those persons and entities, severally and not jointly, whose names are set forth on the Schedule of Pur |
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| February 23, 2022 |
Exhibit 3.1 [CONTINUED FROM PAGE 1] RESOLVED, that the board of directors (the ?Board?) of S&W Seed Company, a Nevada corporation (the ?Corporation?), pursuant to authority expressly vested in it by Article IV of the Corporation?s articles of incorporation, as amended (the ?Articles?), hereby designates a series of the Corporation?s preferred stock, par value $0.001 per share (the ?Preferred Stock |
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| February 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2022 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| February 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S |
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| February 10, 2022 |
S&W Announces Second Quarter Fiscal 2022 Financial Results EXHIBIT 99.1 S&W Announces Second Quarter Fiscal 2022 Financial Results For Immediate Release Company Contact:Investor Contact: Betsy Horton, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 593-3570Phone: (602) 889-9700 [email protected] LONGMONT, Colorado ? February 10, 2022 ? S&W Seed Company (Nasdaq: SANW) today a |
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| February 10, 2022 |
Exhibit 10.1 y?nab FINANCE AGREEMENT National Australia Bank Limited and S&W SEED COMPANY AUSTRALIA PTY LTD A.C.N. 061 114 814 DATED 14 October 2021 ? National Australia Bank Limited (ABN 12 004 044 937), Melbourne, Australia This Finance Agreement is dated as shown on the front page and is made between NATIONAL AUSTRALIA BANK LIMITED ABN 12 004 044 937 of Level 1,800 Bourke Street, Docklands, Vic |
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| February 10, 2022 |
Employment Agreement by and between the Registrant and Elizabeth Horton, dated November 13, 2021 Exhibit 10.2 EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?) is entered into as of November 13, 2021 (the ?Effective Date?) by and between S&W Seed Company, a Nevada corporation (the ?Company?) and Betsy Horton (?Executive?). Together, Executive and the Company are sometimes referred to as the ?Parties.? Capitalized terms not otherwise defined herein shall have the meanings set f |
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| February 10, 2022 |
Exhibit 10.3 November 14, 2021Via email to [email protected] Matthew K. Szot 7013 Cattail Place Carlsbad, CA 92011 Re:Separation and Consulting Agreement Dear Matthew: This letter sets forth the substance of your separation and consulting agreement (the ?Agreement?) with S&W Seed Company (the ?Company?). 1.Separation. Pursuant to your resignation, your employment with the Company will end on Nove |
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| January 4, 2022 |
S&W Seed Company 2101 Ken Pratt Blvd, Suite 201 Longmont, CO 80501 S&W Seed Company 2101 Ken Pratt Blvd, Suite 201 Longmont, CO 80501 January 4, 2022 Via Edgar United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 17, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 17, 2021 |
As filed with the Securities and Exchange Commission on December 17, 2021 Table of Contents As filed with the Securities and Exchange Commission on December 17, 2021 Registration No. |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 12, 2021 |
EXHIBIT 99.1 S&W Announces First Quarter Fiscal 2022 Financial Results Conference call to be conducted on Thursday, November 11, 2021 at 11:00 am ET For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LON |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 |
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| November 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| October 28, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| October 18, 2021 |
SANW / S&W Seed Company / MFP INVESTORS LLC - SC 13 D/A 10 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ?240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ?240.13d-2(a). UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 10) S&W SEED COMPANY (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 785135104 (CUSIP Number) T |
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| October 18, 2021 |
Registration Rights Agreement, dated October 14, 2021, by and among the Company and the Purchasers Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), is made and entered into as of this 14th day of October, 2021, between S&W Seed Company, a Nevada corporation, with offices at 2101 Ken Pratt Blvd, Suite 201, Longmont, Colorado 80501 (the ?Company?) and the investors listed on Exhibit A hereto (each, an ?Investor? and together the ?Investors?). This |
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| October 18, 2021 |
8-K 1 sanw-8k20210630.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Inco |
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| October 18, 2021 |
Securities Purchase Agreement, dated October 14, 2021, by and among the Company and the Purchasers Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), is made and entered into as of October 15, 2021, between S&W Seed Company, a Nevada corporation, with offices at 2101 Ken Pratt Blvd, Suite 201, Longmont, Colorado 80501 (the ?Company?) and each of those persons and entities, severally and not jointly, whose names are set forth on the Schedule of Purc |
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| September 28, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 28, 2021 |
Employment Agreement between the Registrant and Matthew K. Szot, dated September 27, 2021 Exhibit 10.15 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this ?Agreement?) is entered into as of September 27, 2021 (the ?Effective Date?) by and between S&W Seed Company, a Nevada corporation (the ?Company?) and Matthew K. Szot (?Executive?). Together, Executive and the Company are sometimes referred to as the ?Parties.? Capitalized terms not otherwi |
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| September 28, 2021 |
Employment Agreement between the Registrant and Mark W. Wong, dated September 27, 2021 Exhibit 10.16 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this ?Agreement?) is made and entered into effective as of September 27, 2021 (the ?Effective Date?), by and between S&W Seed Company (the ?Company?) and Mark Wong (?Executive?). The Company and Executive are hereinafter collectively referred to as the ?Parties?, and individually referred to as |
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| September 28, 2021 |
Subsidiaries of the Registrant Exhibit 21.1 SUBSIDIARIES OF S&W SEED COMPANY, Nevada corporation Pasture Genetics Pty Ltd, an Australia corporation (wholly-owned by S&W Seed Company Australia Pty Ltd) Seed Holding, LLC, a Nevada limited liability company Stevia California, LLC, a California limited liability company S&W Holdings Australia Pty Ltd, an Australia corporation (f/k/a S&W Seed Australia Pty Ltd) S&W Seed Company Aust |
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| September 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W SEED COMPANY ( |
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| September 28, 2021 |
Employment Agreement between the Company and Donald Panter, dated September 27, 2021 Exhibit 10.17 EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?) is entered into as of September 27, 2021 (the ?Effective Date?) by and between S&W Seed Company, a Nevada corporation (the ?Company?) and Donald M. Panter, Jr. (?Executive?). Together, Executive and the Company are sometimes referred to as the ?Parties.? Capitalized terms not otherwise defined herein shall have the mea |
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| September 28, 2021 |
Up to $17,100,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-248974 AMENDMENT NO. 1 DATED SEPTEMBER 28, 2021 (To the Prospectus Dated November 2, 2020) Up to $17,100,000 Common Stock This Amendment No. 1 to Prospectus (this ?Amendment?) amends our prospectus dated November 2, 2020 (File No. 333-248974) (the ?Prospectus?) relating to shares of our common stock that may be issued and sold in accordance wit |
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| September 28, 2021 |
Amendment to At Market Issuance Sales Agreement, dated September 27, 2021 Exhibit 1.2 S&W SEED COMPANY Common Stock (par value $0.001 per share) Amendment No. 1 to At Market Issuance Sales Agreement September 27, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: Reference is made to the At Market Issuance Sales Agreement, dated September 23, 2020, including the Schedules and Exhibits thereto (the ?Sales Agreement?), betw |
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| September 28, 2021 |
Employment Agreement between the Company and David Callachor, dated September 27, 2021 Exhibit 10.18 Executive Employment Agreement S&W Seed Company (Employer or Company) David Callachor (Executive) 247987818 v8 Executive employment agreement ~*~ Details5 Agreed terms6 1. Defined terms & interpretation6 1.1 Defined terms6 1.2 Interpretation11 2. Appointment and position11 2.1 Position11 2.2 Commencement date and term of Agreement11 2.3 Hours of work12 2.4 Location12 2.5 Continuation |
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| September 28, 2021 |
Exhibit 10.37 FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Fourth Amendment to Loan and Security Agreement (this ?Fourth Amendment?) made and entered into as of the 24th day of September, 2021, is by and among S&W Seed Company, a Nevada corporation (?S&W Seed?), Seed Holding, LLC, a Nevada limited liability company (?Seed Holding?), and Stevia California, LLC, a California limited liabilit |
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| September 27, 2021 |
EXHIBIT 99.1 S&W Announces Fiscal 2021 Financial Results Conference call to be conducted on Monday, September 27, 2021 at 11:00 am ET For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LONGMONT, Colorado |
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| September 27, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 20, 2021 |
S&W Announces Preliminary Fiscal 2021 Financial Results Exhibit 99.1 S&W Announces Preliminary Fiscal 2021 Financial Results For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LONGMONT, Colorado ? August 19, 2021 ? S&W Seed Company (Nasdaq: SANW) today announ |
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| August 20, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 13, 2021 |
As filed with the Securities and Exchange Commission on May 13, 2021 As filed with the Securities and Exchange Commission on May 13, 2021 Registration No. |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S&W |
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| May 13, 2021 |
S&W Announces Third Quarter Fiscal 2021 Financial Results EXHIBIT 99.1 S&W Announces Third Quarter Fiscal 2021 Financial Results For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LONGMONT, Colorado ? May 13, 2021 ? S&W Seed Company (Nasdaq: SANW) today announc |
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| May 13, 2021 |
Exhibit 10.2 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This Third Amendment to Loan and Security Agreement (this ?Third Amendment?) made and entered into as of the 13th day of May, 2021, but effective as of March 31, 2021, is by and among S&W Seed Company, a Nevada corporation (?S&W Seed?), Seed Holding, LLC, a Nevada limited liability company (?Seed Holding?), and Stevia California, LLC, a C |
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| May 13, 2021 |
Exhibit 10.1 Adelaide Agribusiness Centre 908 UB 22-28 King William Street Adelaide SA 5000 8 March 2021 The Secretary S&W Seed Company Australia Pty Ltd PO Box 69 STIRLING SA 5152 Important information for: S&W Seed Company Australia Pty Ltd Guarantor/s: S&W Seed Company CHANGES TO YOUR AGREEMENT I?m writing to you about the changes to the following facility/ies: Facility Limit Trade Refinance Fa |
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| February 11, 2021 |
Registrant’s Articles of Incorporation, as amended Exhibit 3.1 Ross miller secratry of state 294 north carson street, suite 4 carson city, nevada 89701-4620 (775) 684-6708 website: www.nvsos.gov filed in the office of secretary of state state of nevada business number e0582572011-7 filling number 20110762440-17 filed on 10/25/2011 nomber of pages 6 articale of incorporation (pursuant to nrs chapter 78) use black ink only - do not highlight above s |
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| February 11, 2021 |
S&W Announces Second Quarter Fiscal 2021 Financial Results EXHIBIT 99.1 S&W Announces Second Quarter Fiscal 2021 Financial Results For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LONGMONT, Colorado – February 11, 2021 – S&W Seed Company (Nasdaq: SANW) today a |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 S |
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| February 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| February 11, 2021 |
Exhibit 10.2 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This Second Amendment to Loan and Security Agreement (this “Second Amendment”) made and entered into as of the 30th day of December, 2020, is by and among S&W Seed Company, a Nevada corporation (“S&W Seed”), Seed Holding, LLC, a Nevada limited liability company (“Seed Holding”), and Stevia California, LLC, a California limited liability |
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| December 31, 2020 |
Entry into a Material Definitive Agreement - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2020 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| December 18, 2020 |
S&W Seed Company 2019 Equity Incentive Plan, as amended (the “Plan”) Exhibit 10.1 S&W SEED COMPANY 2019 EQUITY INCENTIVE PLAN Adopted by the Board of Directors: December 3, 2018 Approved by the Stockholders: January 16, 2019 Amended by the Board of Directors: October 14, 2020 Approved by the Stockholders: December 16, 2020 S&W Seed Company (the “Company”), a Nevada corporation, hereby adopts the following 2019 Equity Incentive Plan (the “Plan”). 1. GENERAL 1.1. Pur |
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| December 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2020 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 13, 2020 |
S&W Announces First Quarter Fiscal 2021 Financial Results EXHIBIT 99.1 S&W Announces First Quarter Fiscal 2021 Financial Results For Immediate Release Company Contact:Investor Contact: Matthew Szot, Chief Financial Officer Robert Blum S&W Seed CompanyLytham Partners, LLC Phone: (720) 506-1164Phone: (602) 889-9700 [email protected] LONGMONT, Colorado – November 11, 2020 – S&W Seed Company (Nasdaq: SANW) today an |
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| November 13, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2020 S&W SEED COMPANY (Exact name of registrant as specified in Its charter) Nevada 001-34719 27-1275784 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 12, 2020 |
Adelaide Agribusiness Centre 908 UB 22-28 King William Street Adelaide SA 5000 Exhibit 10. |
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| November 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period year ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34719 |
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| October 29, 2020 |
CORRESP October 29, 2020 Via Edgar United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive |
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| October 28, 2020 |
DEFA14A 1 sanw-defa14a20201216.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Com |
