Filing Details
- Accession Number:
- 0001249155-15-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-19 17:14:34
- Reporting Period:
- 2015-02-17
- Filing Date:
- 2015-02-19
- Accepted Time:
- 2015-02-19 17:14:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1401385 | K Matthew Szot | P.o. Box 235 Five Points CA 93624 | Exec Vp Fin & Admin And Cfo | No | 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 | 2015-02-17 | 25,000 | $4.00 | 60,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-17 | 5,651 | $4.75 | 55,028 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-17 | 900 | $4.74 | 54,128 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-17 | 15,100 | $4.74 | 39,028 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-17 | 601 | $4.73 | 38,427 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-17 | 2,748 | $4.72 | 35,679 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-02-17 | 25,000 | $0.00 | 25,000 | $4.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-03-09 | No | 4 | M | Direct |
Footnotes
- The sale was required by and made pursuant to a 10b5-1 Trading Plan, with no discretion exercised by the reporting person.
- The options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and continuing thereafter on the first day of each succeeding fiscal quarter (October 1, January 1, April 1 and July 1) through and including April 1, 2013.
Billionaire Hedge Funds
