SEC Form 4 · accession 0001249155-16-000049
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark James Harvey
Officer — Chairman of the Board · Director
Period of report
Feb 29, 2016
Accepted (ET)
Mar 2, 2016 · 7:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 29, 2016 | X | 24,096 | $4.15 | A | 212,096 | I | By retirement fund |
| Common Stock | holding | — | — | — | 3,336 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy)F2 | $4.15 | Feb 29, 2016 | X | 24,096 | D | Jan 25, 2016 | Feb 22, 2016 | Common Stock | 24,096 | 0 | I |
Explanation of responses
- F1In connection with the issuer's registered rights offering, the reporting person, as trustee of The Harvey Superannuation Fund, purchased 24,096 shares of common stock through the exercise of nontransferable basic and over-subscription rights to purchase the issuer's common stock.
- F2These shares are owned directly by The Harvey Superannuation Fund, a retirement fund of which the Reporting Person is a trustee and beneficiary.