Filing Details

Accession Number:
0001104659-10-028738
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-05-14 13:00:00
Reporting Period:
2010-05-13
Filing Date:
2010-05-14
Accepted Time:
2010-05-14 17:12:17
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 430 Cambridge Avenue, Suite 100
Palo Alto CA 94306
Chairman Of The Board 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 2010-05-13 800 $0.00 3,000 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Class A Common Stock Warrants (right to buy) Acquisiton 2010-05-13 400 $0.00 400 $7.15
Common Stock Class B Common Stock Warrants (right to buy) Acquisiton 2010-05-13 400 $0.00 400 $11.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,500 2015-05-03 No 4 P Indirect
1,500 2015-05-03 No 4 P Indirect
Footnotes
  1. The reported securities are included within 400 S&W Seed Company Units purchased in the open market for $9.8925 per Unit. Each Unit consists of 2 shares of Common Stock, 1 Class A Warrant and 1 Class B Warrant.
  2. The reporting person is the trustee of his minor daughter's trust, The Lindsay Anne Wickersham 1999 Irrevocable Trust. The reported securities were purchased by the Trust.
  3. The Class A Warrants and Class B Warrants become exercisable upon separation of the Units of which they are component parts. The Units will separate between June 4, 2010 and June 18, 2010, in the discretion of the representative of the underwriters of the issuer's initial public offering.