4//SEC Filing
Harvey Mark James 4
Accession 0001249155-17-000088
CIK 0001477246other
Filed
Dec 25, 7:00 PM ET
Accepted
Dec 26, 5:05 PM ET
Size
7.7 KB
Accession
0001249155-17-000088
Insider Transaction Report
Form 4
S&W Seed CoSANW
Harvey Mark James
DirectorVice Chairman of the Board
Transactions
- Exercise/Conversion
Subscription Rights (right to buy)
2017-12-22−8,570→ 0 totalExercise: $3.50From: 2017-11-29Exp: 2017-12-20→ Common Stock (8,570 underlying) - Exercise/Conversion
Common Stock
2017-12-22$3.50/sh+8,570$29,995→ 20,505 total
Holdings
- 212,096(indirect: By Retirement Fund)
Common Stock
Footnotes (2)
- [F1]Purchased pursuant to the exercise of subscription rights received in the Issuer's rights offering that commenced on November 29, 2017 and closed on December 22, 2017.
- [F2]These shares are owned directly by The Harvey Superannuation Fund, a retirement fund directed by the reporting person and under which he is a beneficiary.
Documents
Issuer
S&W Seed Co
CIK 0001477246
Entity typeother
Related Parties
1- filerCIK 0001573791
Filing Metadata
- Form type
- 4
- Filed
- Dec 25, 7:00 PM ET
- Accepted
- Dec 26, 5:05 PM ET
- Size
- 7.7 KB