Filing Details
- Accession Number:
- 0001249155-15-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-06 18:01:45
- Reporting Period:
- 2015-03-04
- Filing Date:
- 2015-03-06
- Accepted Time:
- 2015-03-06 18:01:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1488714 | Z Daniel Karsten | C/O S&Amp;W Seed Company 7108 North Fresno Street, Suite 380 Fresno CA 93720 | Vice President Of Processing | 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 | 2015-03-04 | 20,000 | $4.00 | 20,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-03-04 | 2,537 | $4.67 | 17,463 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 100 | $4.64 | 17,363 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 53 | $4.63 | 17,310 | No | 4 | S | Direct | |
| Common Stcok | Disposition | 2015-03-04 | 1,500 | $4.62 | 15,810 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 41 | $4.61 | 15,769 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 3,983 | $4.60 | 11,786 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 300 | $4.56 | 11,486 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 1,100 | $4.55 | 10,386 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 400 | $4.54 | 9,986 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 700 | $4.54 | 9,286 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 1,730 | $4.53 | 7,556 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 3,700 | $4.51 | 3,856 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 600 | $4.51 | 3,256 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-04 | 3,256 | $4.50 | 0 | 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 | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2015-03-04 | 20,000 | $0.00 | 20,000 | $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 options vested and became exercisable in 12 quarterly installments over three years, commencing on July 1, 2010 and 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
