4//SEC Filing
LANDES JOSHUA 4
Accession 0001104659-20-027990
CIK 0001477246other
Filed
Mar 1, 7:00 PM ET
Accepted
Mar 2, 5:13 PM ET
Size
25.7 KB
Accession
0001104659-20-027990
Insider Transaction Report
Form 4
S&W Seed CoSANW
LANDES JOSHUA
10% Owner
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes)
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes)
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total
OBUS NELSON
10% Owner
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes)
WYNNEFIELD CAPITAL INC
10% Owner
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total
WYNNEFIELD CAPITAL MANAGEMENT LLC
10% Owner
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total
Transactions
- Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.75/sh+3,272$9,000→ 2,883,161 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.70/sh+5,738$15,493→ 1,366,096 total - Purchase
Common Stock, par value $0.0001 per share
2020-02-28$2.75/sh+12,453$34,268→ 2,895,614 total(indirect: See footnotes) - Purchase
Common Stock, par value $0.0001 per share
2020-02-27$2.70/sh+1,539$4,155→ 1,360,358 total
Footnotes (5)
- [F1]The Reporting Person directly beneficially owns 1,366,096 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company (the "Issuer"). Wynnefield Capital Management, LLC, 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. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
- [F2]The Reporting Person has an indirect beneficial ownership interest in 2,150,152 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.
- [F3]The Reporting Person has an indirect beneficial ownership interest in 616,227 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.
- [F4]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, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
- [F5]This transaction was executed in multiple trades at prices ranging from $2.70 to $2.8057. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or a stockholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001251568
Filing Metadata
- Form type
- 4
- Filed
- Mar 1, 7:00 PM ET
- Accepted
- Mar 2, 5:13 PM ET
- Size
- 25.7 KB