Filing Details

Accession Number:
0001144204-17-033854
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-23 16:35:43
Reporting Period:
2017-06-21
Filing Date:
2017-06-23
Accepted Time:
2017-06-23 16:35:43
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1477246 S&W Seed Co SANW () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
899083 Wynnefield Partners Small Cap Value Lp 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1017043 Nelson Obus 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1030806 Ltd Fund Offshore Value Cap Small Wynnefield 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1056835 Wynnefield Capital Management Llc 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251565 Wynnefield Partners Small Cap Value Lp I 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251567 Wynnefield Capital Inc 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251568 Joshua Landes 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1289453 Wynnefield Capital, Inc. Profit Sharing Plan 450 Seventh Avenue
Suite 509
New York NY 10123
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 Acquisiton 2017-06-21 52,891 $4.16 1,023,542 No 4 P Direct
Common Stock Acquisiton 2017-06-21 83,550 $4.16 1,640,039 No 4 P Indirect See footnote
Common Stock Acquisiton 2017-06-21 30,459 $4.16 465,207 No 4 P Indirect See footnote
Common Stock Acquisiton 2017-06-21 30,000 $4.16 129,235 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
Footnotes
  1. Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 1,023,542 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5).
  2. The Reporting Person has an indirect beneficial ownership interest in 1,640,039 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns.
  3. The Reporting Person has an indirect beneficial ownership interest in 465,207 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns.
  4. The Reporting Person has an indirect beneficial ownership interest in 129,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns.
  5. Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.