false000147724600014772462024-05-142024-05-14

 

 

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

img84349022_0.jpg 

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)

(IRS Employer Identification Number)

2101 Ken Pratt Blvd, Suite 201

Longmont, CO

80501

(Address of principal executive offices)

(Zip Code)

Registrant's telephone number, including area code: (720) 506-9191

Not Applicable

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities Registered Pursuant to Section 12(b) of the Act:

 

Title of Each Class

Trading Symbol(s)

Name of Each Exchange on Which Registered

Common Stock, par value $0.001 per share

SANW

The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 8.01. Other Events.

As previously announced, S&W Seed Company (the “Company”) received a letter (the “Notice”) from The Nasdaq Stock Market (“Nasdaq”) on November 14, 2023 advising the Company that for 30 consecutive trading days preceding the date of the Notice, the bid price of the Company’s common stock had closed below the $1.00 per share minimum required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Rule”).

The Company subsequently requested an extension of time to regain compliance with the Rule and submitted to Nasdaq a plan to regain compliance. On May 14, 2024, Nasdaq informed the Company that the request for extension was granted. As a result of the extension, the Company now has until November 11, 2024 to provide evidence that it has regained compliance with the Rule.

There can be no assurance that the Company will be able to regain compliance with the Rule or the other requirements for continued listing on the Nasdaq Global Market.

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

S&W SEED COMPANY

By:

/s/ Vanessa Baughman

Vanessa Baughman

Chief Financial Officer

Date: May 14, 2024

 

 

 

 

 

 

 

v3.24.1.1.u2
Document and Entity Information
May 14, 2024
Cover [Abstract]  
Entity Registrant Name S&W SEED CO
Security Exchange Name NASDAQ
Amendment Flag false
Entity Central Index Key 0001477246
Document Type 8-K
Document Period End Date May 14, 2024
Entity Incorporation, State or Country Code NV
Entity File Number 001-34719
Entity Tax Identification Number 27-1275784
Entity Address, Address Line One 2101 Ken Pratt Blvd
Entity Address, Address Line Two Suite 201
Entity Address, City or Town Longmont
Entity Address, State or Province CO
Entity Address, Postal Zip Code 80501
City Area Code (720)
Local Phone Number 506-9191
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock, par value $0.001 per share
Trading Symbol SANW
Entity Emerging Growth Company false
Entity information ,Former Legal or Registered Name Not Applicable
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