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13G Filing: Wynnefield Capital and S&W Seed Company (SANW)

Published on June 13, 2017 at 3:00 pm by Insider Monkey Staff in Hedge Funds
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Page 12 of 13 – SEC Filing

CUSIP No. 785135104 Page 12 of 13 Pages
Item 4. Ownership.
(a) Amount beneficially owned by all Reporting Persons: 2,717,144 Common Shares
(b) Percent of Class: 15.1% of outstanding Common Shares
(c) Number of Shares as to which the Reporting Persons have:
(i) Sole power to vote or to direct the vote:  2,717,144 Common Shares
(ii) Shared power to vote or to direct the vote:   0
(iii) Sole power to dispose or to direct the disposition of:  2,717,144 Common Shares
(iv) Shared Power to dispose or to direct the disposition of:   0
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. [  ].
Item 6

Ownership of More than Five Percent on Behalf of Another
Person.

Not Applicable.
Item 7.

Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding Company.

Not Applicable.
Item 8.

Identification and Classification of Members of the Group.

See Item 2(a)-(c).
Item 9.

Notice of Dissolution of Group.

Not Applicable.
Item 10.

Certifications.

By signing below, I certify that, to the best of my
knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect
of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with
or as a participant in any transaction having that purpose or effect.

12

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