SEC Form 4 · accession 0001249155-17-000086
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
Dec 22, 2017
Accepted (ET)
Dec 26, 2017 · 4:50 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 Stock | Dec 22, 2017 | M | 11,174 | $3.50 | A | 90,745 | 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) | $3.50 | Dec 22, 2017 | M | 11,174 | D | Nov 29, 2017 | Dec 20, 2017 | Common Stock | 11,174 | 0 | D |
Explanation of responses
- F1Purchased pursuant to the exercise of subscription rights received in the Issuer's rights offering that commenced on November 29, 2017 and closed on December 22, 2017.