Filing Details
- Accession Number:
- 0001249155-12-000020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-16 19:44:31
- Reporting Period:
- 2012-10-15
- Filing Date:
- 2012-10-16
- Accepted Time:
- 2012-10-16 19:44:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1477246 | S&W Seed Co | SANW | Agricultural Production-Crops (100) | 271275784 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1292351 | W Robert Lishman | 430 Cambridge Avenue, Suite 100 Palo Alto CA 94306 | No | No | Yes | No | |
| 1488716 | Yellowjacket, Lp | 430 Cambridge Avenue, Suite 100 Palo Alto CA 94306 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 Par Value | Disposition | 2012-10-15 | 335 | $8.00 | 1,667,761 | No | 4 | S | Direct | |
| Common Stock, $0.01 Par Value | Disposition | 2012-10-15 | 673 | $8.03 | 1,667,088 | No | 4 | S | Direct | |
| Common Stock, $0.01 Par Value | Disposition | 2012-10-15 | 19,283 | $8.05 | 1,647,805 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.01 Par Value | 322 | Direct |
Footnotes
- This report is jointly filed by Yellowjacket, LP and Robert W. Lishman, Jr., the general partner of Yellowjacket, LP. The reported transactions were consummated by Yellowjacket, LP, which directly owns the securities that were sold. In his capacity as the sole general partner, Mr. Lishman is deemed to be the beneficial owner of the portfolio securities owned by the limited partnership. Accordingly, Mr. Lishman is jointly reporting these transactions as the indirect beneficial owner of the securities directly owned by Yellowjacket LP. Mr. Lishman disclaims beneficial ownersip of these securities except to the extent of his pecuniary interest therein. The inclusion of these shares in this report on his behalf shall not be deemed an admission of beneficial ownersihp of all of the reported shares for purposes of Section 16 or for any other purpose.
- Mr. Lishman directly owns the 322 shares reported as direct holdings. Yellowjacket, LP has no interest in these securities.
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