Filing Details

Accession Number:
0001249155-12-000020
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-10-16 19:44:31
Reporting Period:
2012-10-15
Filing Date:
2012-10-16
Accepted Time:
2012-10-16 19:44:31
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
1488716 Yellowjacket, Lp 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, $0.01 Par Value Disposition 2012-10-15 335 $8.00 1,667,761 No 4 S Direct
Common Stock, $0.01 Par Value Disposition 2012-10-15 673 $8.03 1,667,088 No 4 S Direct
Common Stock, $0.01 Par Value Disposition 2012-10-15 19,283 $8.05 1,647,805 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.01 Par Value 322 Direct
Footnotes
  1. This report is jointly filed by Yellowjacket, LP and Robert W. Lishman, Jr., the general partner of Yellowjacket, LP. The reported transactions were consummated by Yellowjacket, LP, which directly owns the securities that were sold. In his capacity as the sole general partner, Mr. Lishman is deemed to be the beneficial owner of the portfolio securities owned by the limited partnership. Accordingly, Mr. Lishman is jointly reporting these transactions as the indirect beneficial owner of the securities directly owned by Yellowjacket LP. Mr. Lishman disclaims beneficial ownersip of these securities except to the extent of his pecuniary interest therein. The inclusion of these shares in this report on his behalf shall not be deemed an admission of beneficial ownersihp of all of the reported shares for purposes of Section 16 or for any other purpose.
  2. Mr. Lishman directly owns the 322 shares reported as direct holdings. Yellowjacket, LP has no interest in these securities.