SEC Form 4 · accession 0001249155-17-000050
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Grewal
Other
Period of report
Jul 3, 2017
Accepted (ET)
Jul 6, 2017 · 7:49 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 | Jul 3, 2017 | S | 1,181 | $4.05 | D | 135,464 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Although the reporting person purchased shares on May 19, 2017, as reported on the Form 4 filed on May 22, 2017, those shares were purchased at $4.10 and $4.20, whereas the shares reported on this Form 4 were sold at $4.05. Accordingly, there is no short-swing profit resulting from the sales triggered by the 10b5-1 trading plan.