SEC Form 4 · accession 0001249155-17-000040
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Grewal
Officer — President and CEO · Director
Period of report
May 19, 2017
Accepted (ET)
May 22, 2017 · 6:09 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 19, 2017 | P | 21,322 | $4.10 | A | 133,967 | D | |
| Common Stock | May 19, 2017 | P | 2,678 | $4.20 | A | 136,645 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchases made by the Reporting Person on May 19, 2017 of an aggregate of 2,362 shares have been matched against sales of (i) 1,181 shares made pursuant to the Reporting Person's 10b5-1 trading plan on January 6, 2017, at all $4.75; and (ii) 1,181 shares made pursuant to the Reporting Person's 10b5-1 trading plan on April 3, 2017 (100 shares at $5.00, 100 shares at $4.9750 and 981 shares at $4.95). The aforementioned sales constitute all of the sales made during the six month period up to and including May 19, 2017, and the sale prices are matched against the May 19, 2017 purchase price of $4.10, which is the lowest purchase price paid by the Reporting Person. The Reporting Person has agreed to pay the Issuer $1,779.00, representing the full amount of the short-swing profit recovery required by Section 16(b) under the Securities Exchange Act of 1934, as amended.