S&W Seed Co (NASDAQ:SANW): Nelson Obus And Joshua Landes’ Wynnefield Capital filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Wynnefield Partners Small Cap Value | 1,353,574 | 0 | 1,353,574 | 0 | 1,353,574 | 5.6% |
| Wynnefield Partners Small Cap Value | 2,159,285 | 0 | 2,159,285 | 0 | 2,159,285 | 8.9% |
| Wynnefield Small Cap Value Offshore Fund, Ltd. (No | 580,214 | 0 | 580,214 | 0 | 580,214 | 2.4% |
| Wynnefield Capital, Inc. Profit Sharing Money Purchase Plan | 129,235 | 0 | 129,235 | 0 | 129,235 | 0.5% |
| Wynnefield Capital Management | 3,512,859 | 0 | 3,512,859 | 0 | 3,512,859 | 14.5% |
| Wynnefield Capital, Inc. 13-3688495 | 580,214 | 0 | 580,214 | 0 | 580,214 | 2.4% |
| Nelson Obus | 0 | 4,222,308 | 0 | 4,222,308 | 4,222,308 | 17.4% |
| Joshua Landes | 0 | 4,222,308 | 0 | 4,222,308 | 4,222,308 | 17.4% |
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Page 1 of 14 – SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Amendment No. 1)
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)
Wynnefield Partners Small Cap Value, L.P.
450 Seventh Avenue, Suite 509
New York, New York 10123
Attention: Mr. Nelson Obus
Copy to:
Jeffrey S. Tullman, Esq.
Kane Kessler, P.C.
666 Third Avenue
New York, New York 10017
(212) 541-6222
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 22, 2017
(Date of Event which requires Filing of this
Statement)
If the filing person has previously
filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule
because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨
