Filing Details
- Accession Number:
- 0001104659-10-028983
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-17 13:00:00
- Reporting Period:
- 2010-05-14
- Filing Date:
- 2010-05-17
- Accepted Time:
- 2010-05-17 13:37:18
- 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 |
---|---|---|---|---|---|---|---|
1488713 | S Mark Grewal | 25552 South Butte Avenue Five Points CA 93624 | President And Ceo | 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 | 2010-05-14 | 2,000 | $0.00 | 2,000 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
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 | 2010-05-14 | 1,000 | $0.00 | 1,000 | $7.15 |
Common Stock | Class B Common Stock Warrants (right to buy) | Acquisiton | 2010-05-14 | 1,000 | $0.00 | 1,000 | $11.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,000 | 2015-05-03 | No | 4 | P | Direct | |
1,000 | 2015-05-03 | No | 4 | P | Direct |
Footnotes
- The reported securities are included within 1,000 S&W Seed Company Units purchased in the open market for $10.096 per Unit. Each Unit consists of 2 shares of Common Stock, 1 Class A Warrant and 1 Class B Warrant.
- 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.