Filing Details
- Accession Number:
- 0001104659-10-028319
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-13 13:00:00
- Reporting Period:
- 2010-05-11
- Filing Date:
- 2010-05-13
- Accepted Time:
- 2010-05-13 17:17:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1265078 | T Grover Wickersham | 430 Cambridge Avenue, Suite 100 Palo Alto CA 94306 | Chairman Of The Board | Yes | Yes | No | 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 | Acquisiton | 2010-05-11 | 1,000 | $0.00 | 1,000 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2010-05-12 | 1,200 | $0.00 | 2,200 | No | 4 | P | Indirect | See Footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Class A Common Stock Warrants (right to buy) | Acquisiton | 2010-05-11 | 500 | $0.00 | 500 | $7.15 |
| Common Stock | Class A Common Stock Warrants (right to buy) | Acquisiton | 2010-05-12 | 600 | $0.00 | 600 | $7.15 |
| Common Stock | Class B Common Stock Warrants (right to buy) | Acquisiton | 2010-05-11 | 500 | $0.00 | 500 | $11.00 |
| Common Stock | Class B Common Stock Warrants (right to buy) | Acquisiton | 2010-05-12 | 600 | $0.00 | 600 | $11.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 500 | 2015-05-03 | No | 4 | P | Indirect | |
| 1,100 | 2015-05-03 | No | 4 | P | Indirect | |
| 500 | 2015-05-03 | No | 4 | P | Indirect | |
| 1,100 | 2015-05-03 | No | 4 | P | Indirect |
Footnotes
- The reported securities are included within 500 S&W Seed Company Units purchased in the open market for $10.40 per Unit. Each Unit consists of 2 shares of Common Stock, 1 Class A Warrant and 1 Class B Warrant.
- The reported securities are included within 600 S&W Seed Company Units purchased in the open market for $10.42 per Unit.
- The reporting person is the trustee of his daughter's trust, The Lindsay Anne Wickersham 1999 Irrevocable Trust. The reported securities were purchased by the Trust.
- The Class A Warrants and Class B Warrants become exercisable upon separation of the Units of which they are component parts. The Units will separate between June 4, 2010 and June 18, 2010, in the discretion of the representative of the underwriters of the issuer's initial public offering.
Billionaire Hedge Funds
