Filing Details

Accession Number:
0001592747-14-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-21 15:04:45
Reporting Period:
2014-01-17
Filing Date:
2014-01-21
Accepted Time:
2014-01-21 15:04:45
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
1265078 T Grover Wickersham 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, $0.001 Par Value Acquisiton 2014-01-17 100,000 $5.60 100,000 No 4 P Indirect By corporation
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By corporation
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value 87,774 Direct
Common Stock, $0.001 Par Value 67,463 Direct
Common Stock, $0.001 Par Value 24,397 Indirect By trust
Common Stock, $0.001 Par Value 51,022 Indirect By corporation
Common Stock, $0.001 Par Value 23,723 Indirect By corporation
Footnotes
  1. The reporting person owns 100% of the shares of this corporation's general partner.
  2. The 67,463 shares reported hereon are jointly owned by the reporting person and his spouse as community property.
  3. The reporting person is the trustee of his daughter's trust, The Lindsay Anne Wickersham 1999 Irrevocable Trust. The reporting person disclaims beneficial ownership of all of the securities owned by the Trust. The inclusion of these shares in this report on his behalf shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purposes.
  4. The reporting person owns 100% of the shares of the corporation.
  5. The reporting person owns 75% of the shares of the corporation, and he is an executive officer and director of that corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report on his behalf shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.