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

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Page 6 of 13 – SEC Filing

CUSIP No. 785135104 Page 6 of 13 Pages
1

NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

WYNNEFIELD
CAPITAL MANAGEMENT, LLC 13-4018186

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [ ]
(b) [x] Reporting Person is affiliated with other persons

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

New York

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5

SOLE VOTING POWER

2,246,890 Shares (1)

6

SHARED VOTING POWER

0

7

SOLE DISPOSITIVE POWER

2,246,890 Shares (1)

8

SHARED DISPOSITIVE POWER

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,246,890 Shares (1)

10

CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

[  ]

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

12.5% (1)

12

TYPE OF REPORTING PERSON

OO

(1) Wynnefield Capital Management, LLC holds an indirect beneficial
interest in these shares which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. and Wynnefield Partners
Small Cap Value, L.P. I.

6

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