SEC Form 4 · accession 0001249155-17-000038
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Charles Jury
Officer — EVP Operations and COO
Period of report
May 15, 2017
Accepted (ET)
May 17, 2017 · 8:28 pm EDT
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 Stock | May 15, 2017 | S | 1,000 | $4.20 | D | 104 | D | |
| Common StockF2 | holding | — | — | — | 225,838 | I | By Retirement Fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale transaction was a private sale between the Issuer's Executive Vice President of Operations and the Financial Controller of its wholly-owned subsidiary, Seed Genetics International Pty Ltd.
- F2These shares are owned directly by the Jury Bain Superannuation Fund, a retirement fund of which the reporting person is the beneficiary.