SEC Form 4 · accession 0001249155-17-000075
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Wong
Officer — President & CEO · Director
Period of report
Oct 13, 2017
Accepted (ET)
Oct 13, 2017 · 6:24 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 | Oct 13, 2017 | A | 75,000 | $3.50 | A | 75,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of common stock were purchased in a private placement by the reporting person, which transaction is exempt from Section 16(b) liability in accordance with Section 16b-3(d)(1) of the Securities Exchange Act of 1934.
- F2Acquired from the Issuer pursuant to a Securities Purchase Agreement dated October 11, 2017, with a closing date of October 13, 2017.