Filing Details
- Accession Number:
- 0001249155-11-000012
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-18 18:18:35
- Reporting Period:
- 2011-11-16
- Filing Date:
- 2011-11-18
- Accepted Time:
- 2011-11-18 18:18:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1292351 | W Robert Lishman | 430 Cambridge Avenue, Suite 100 Palo Alto CA 94306 | No | No | Yes | 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 | 2011-11-16 | 200,000 | $4.33 | 1,991,000 | No | 4 | S | Indirect | By limited partnership |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By limited partnership |
Footnotes
- The securities were sold in a private transaction, negotiated between institutional investment groups. The purchasers received "restricted stock," as defined in Rule 144.
- The reporting person is the general partner of the seller limited partnership. As such, he is deemed to be the beneficial owner of the portfolio securities owned by the limited partnership. He disclaims beneficial ownership of the securities owned by the limited partnership except to the extent of his pecuniary interest. This transaction has been separately reported by the limited partnership.
Billionaire Hedge Funds
