Filing Details
- Accession Number:
- 0001592747-14-000047
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-22 22:47:08
- Reporting Period:
- 2014-05-20
- Filing Date:
- 2014-05-22
- Accepted Time:
- 2014-05-22 21:47:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1573791 | James Mark Harvey | 33 Brownhill Creek Road Mitcham C3 5062 | Yes | No | 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 | Disposition | 2014-05-20 | 500 | $6.50 | 27,716 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2014-05-20 | 900 | $6.46 | 28,816 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2014-05-20 | 19,100 | $6.45 | 7,716 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2014-05-21 | 6,716 | $6.50 | 1,000 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2014-05-21 | 1,000 | $6.46 | 0 | No | 4 | S | Indirect | By trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 188,000 | Indirect | By retirement fund |
Footnotes
- These sales were made pursuant to a Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- These shares are owned directly by the C.R.A. Trust and indirectly by Mark James Harvey, as joint trust of the Trust with his spouse, Helen Maree Harvey.
- These shares owned directly by The Harvey Superannuation Fund, a retirement fund, of which the Reporting Person is a beneficiary.
Billionaire Hedge Funds
