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Home > Insider Trading > Filing (0001209191-17-049545)

Filing Details

Accession Number:
0001209191-17-049545
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-17 20:33:11
Reporting Period:
2017-08-15
Filing Date:
2017-08-17
Accepted Time:
2017-08-17 20:33:11
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1477246 S&W Seed Co SANW () MD
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
918537 F Michael Price C/O Mfp Investors Llc
909 Third Avenue, 33Rd Floor
New York NY 10022		 No No Yes Yes
1074749 Mfp Partners Lp C/O Mfp Investors Llc
909 Third Avenue, 33Rd Floor
New York NY 10022		 No No Yes Yes
1105685 Mfp Investors Llc 909 Third Avenue, 33Rd Floor
New York NY 10022		 No No Yes Yes
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Acquisiton 2017-08-15 375,000 $3.20 4,507,838 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. This report is filed jointly by MFP Partners, L.P. ("MFP Partners"), MFP Investors LLC ("MFP Investors") and Michael F. Price (each, a "Reporting Person" and, collectively, the "Reporting Persons") in connection with their respective direct and indirect relationships with S&W Seed Company (the "Company"). MFP Investors is the general partner of MFP Partners. Mr. Price is the managing partner of MFP Partners and the managing member and controlling person of MFP Investors.
  2. MFP Partners is the direct beneficial owner of the shares of common stock of the Company reported herein (the "Common Shares"). Each Reporting Person other than MFP Partners may be deemed to be the indirect beneficial owner of such Common Shares; however, each such Reporting Person disclaims beneficial ownership of such Common Shares except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that any of these Reporting Persons is the beneficial owner of the Common Shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
  3. MFP Partners also directly holds a Common Stock Purchase Warrant (the "Warrant"), exercisable for up to 200,000 Common Shares at an exercise price of $4.46 per share. The Warrant is exercisable for Common Shares only to the extent that upon such exercise, the Reporting Persons will not own Common Shares in excess of 19.99% of the number of Common Shares outstanding immediately after giving effect to the issuance of Common Shares upon exercise of the Warrant.